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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Goldie Locks is an agent with Bear Broker-Dealers. One of her clients is a single woman, Annie Spinster,
who is retired and needs income from her investment portfolio to meet her current needs for liquidity. In
addition to investing in mutual funds, Annie likes the thrill of investing in single stocks and asks Goldie for
recommendations. Goldie recommends Annie invest some of her money in Alcon (ACL), a medical
instrument and supplies company selling on the NYSE, based on the fact that it has a high dividend yield
and is paying a dividend of $2.21 a share, which is guaranteed to continue or even increase, Goldie
assures Annie. Has Goldie violated any laws or engaged in any prohibited practices?

A) Both A and B are true.
B) No. Goldie merely responded to a recommendation request from a client, and the recommendation is
suitable since the client has a need for current income and the recommended stock pays a high dividend.
C) Yes. At the very least, Goldie has committed fraud since she cannot guarantee that a firm's dividend
will continue or increase.
D) Yes. As the agent of a broker-dealer, Goldie is not permitted to make recommendations for specific
investments. Only investment adviser representatives and investment advisers can do that.

2. Ari Gaunt is a registered agent employed by Small &Associates Broker-Dealers. He has been notified of a
hearing regarding the revocation of his license for making unauthorized trades on some of his clients'
accounts. Which of the following statements is necessarily true?

A) The Administrator of the state can assess Ari with both civil and criminal penalties.
B) If Ari is found guilty and has his license revoked, he can appeal the decision in a court of law if he files
the appeal within sixty days.
C) If Ari is found guilty and has his license revoked, Small & Associates will be subject to a fine.
D) If Ari is found guilty and has his license revoked, Small & Associates will have its license revoked as
well and must reapply for reinstatement by filling out an application and paying the requisite filing fees.

3. Registered agent Ina Scent has had her license suspended by the state Administrator prior to an
administrative hearing on the order. Which of the following statements is true regarding Ina's situation?

A) Ina can immediately file an appeal of the suspension in a court of law.
B) Ina can sue the Administrator because she was not afforded a hearing before the suspension took
place.
C) Ina can make a written request that a hearing on the issue be scheduled within ten business days of
her request and may continue working with clients while waiting for her day in court.
D) Ina can make a written request that a hearing on the issue be scheduled within fifteen business days of
her request and may not continue working with clients unless the Administrator vacates the order until
final determination.

4. You have recently discovered that a security you purchased has not been registered with the state, nor is
it exempt from registration. You can file a civil claim against the seller as long as you do so within

A) five years.
B) two years from discovery or three years from the event, whichever comes first.
C) one year from discovery.
D) three years from discovery or five years from the event, whichever comes first.

5. Which of the following would not fall under the classification of "institutional investor"?

A) Chase Bank
B) Prudential Insurance
C) Neuring Investment Advisers
D) Franklin Templeton Mutual Funds

Solutions: