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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Gazillions is an investment adviser with offices in the state that is registered with the SEC and has $100 billion dollars under management. A client has filed a complaint asserting that the firm has been involved in fraudulent activities. In this case,

A) Gazillions only has to answer to the SEC regarding the allegations. Since it is a federal covered investment adviser, it need not respond to any state-issued requests for information.
B) Gazillions is in trouble for not registering with both the state and the SEC given the amount of money it has under management.
C) Gazillions only has to answer to the state in which the complaint was filed.
D) Gazillions has to answer to both the SEC and the state in which the complaint was filed.

2. A broker-dealer will be found guilty of churning an account if the account has a turnover ratio of

A) five.
B) There is no specified turnover ratio assigned to the prohibited practice of churning.
C) eight.
D) four.

3. Which of the following may be given to prospective investors during the "cooling off period?"

A) a final prospectus
B) a tombstone advertisement
C) all of the above
D) a copy of the registration statement

4. To say a security is "exempt," means that
I. it is exempt from the state's anti-fraud laws.
II. it is exempt from state registration requirements.
III. any transaction involving it is considered to be an exempt transaction.

A) I and II only
B) II and III only
C) II only
D) I, II, and III

5. Until yesterday Maddie was a registered agent employed by the broker-dealer, QuikDeals. Yesterday afternoon, issues that had been brewing between her and another employee of the firm came to a head, and Maddie impulsively quit her job.
At this point,

A) Maddie has sixty days to find a job with another broker-dealer, or she will need to file a new registration application.
B) Maddie is required to call all of her clients at QuikDeals to inform them she is no longer employed there.
C) Maddie has thirty days to find a job with another broker-dealer, or she will need to file a new registration application.
D) Maddie will have to file a new application for registration with the Administrator upon finding employment with another broker-dealer since she is no longer considered to be a registered agent by the state.

Solutions: