FINRA Uniform Securities Agent State Law Examination - Series_63

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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Under the NASAA Model Rules, the statute of limitations for civil liabilities is

A) the earlier of two years after the discovery of the facts and four years after the violation.
B) three years after the discovery of the facts and four years after the violation, whichever is greater.
C) the earlier of three years after the discovery of facts and five years after the violation.
D) the earlier of two years after the discovery of facts and three years after the sale.

2. Which of the following is a security as defined by the Uniform Securities Act (USA)?

A) a term life insurance policy
B) a futures option contract on wheat
C) a debenture
D) Both A and B are securities as defined by the Uniform Securities Act.

3. Trevor is currently a registered agent in the state of Connecticut where he has been employed by Connect
& Company, a broker-dealer that is registered in Connecticut and has subsidiary operations in
Massachusetts, New Jersey, and New York. Trevor has moved to Massachusetts and is now associated
with one of Connect's subsidiaries, a broker-dealer registered in the state. Trevor has applied to the
Administrator of Massachusetts for registration as an agent. Can Trevor execute purchases and sales for
clients while his registration is still pending?

A) Yes. Trevor can execute trades for new clients he solicits, but only for sixty days while his registration
is pending.
B) Yes. Because Trevor is a registered agent in another state and is affiliated with a broker-dealer that is
registered in the state of Massachusetts, he is not restricted from executing trades.
C) No. Until he is informed by the Administrator of Massachusetts that his application has been accepted,
Trevor may not effect any securities transactions in Massachusetts.
D) It depends. Trevor can execute some purchases and sales, but only for clients that he already had who
may have recently relocated to Massachusetts and only for sixty days while his registration is pending.

4. Under the Uniform Securities Act, which of the following does not need to be included when filing to
register a security issue with the state?

A) a copy of the firm's articles of incorporation and bylaws, or the equivalent
B) copies of the underwriter agreements
C) All of the above documents must be included when filing to register a security with the state.
D) a copy of any indenture applying to the security being registered

5. Shady Corporation's executives are concerned over the firm's steadily declining stock price and decide to
do something about it. They each decide to make significantly large purchases of their firm's stock in
order to stabilize and hopefully even to drive up its price, reasoning that they can sell the stock for the
higher price down the road and profit from the transaction. You are a broker-dealer for the firm's
executives. Are Shady's executives planning to do anything illegal?

A) No. As long as they follow the rules and report their purchases to the SEC, it is not illegal for them to
purchase shares of their firm's stock.
B) No. It's a win-win. They are using their own money to buy stock of their firm, and this can help drive the
stock price up and put profits in their pockets.
C) Yes. Although it is not illegal for them to purchase shares of their firm's stock, they cannot do so in
order to try to manipulate the price of the stock.
D) Yes. To purchase shares of their own company is considered to be illegal insider trading.

Solutions: