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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following constitutes a non-punitive order?

A) registration denial
B) All of the above are punitive orders.
C) summary license suspension
D) registration cancellation

2. Which of the following would not be found in a tombstone advertisement?

A) the interest rate and time to maturity of a bond issue
B) the price at which the security will be offered
C) the name of the issuer
D) the names of the underwriters

3. Which of the following is not a method that can be used to register securities with the state?

A) registration by notification
B) registration by coordination
C) registration by qualification
D) registration by exception

4. Jack Bean is employed by Giant Investment Advisers, LLC. His job duties include advising clients on the asset allocations of their portfolios. Jack Bean is

A) an investment adviser representative.
B) an agent.
C) an administrative assistant.
D) an investment adviser.

5. n No: 85
Which of the following is not in itself a reason for the Administrator to deny, suspend, or revoke the license of a person?

A) Some of the information supplied on the registration application was found to be false.
B) The person is a broker-dealer whose agents have repeatedly been accused of churning and burning, according to written client complaints.
C) The person has been convicted of check kiting within the past ten years.
D) The applicant has never before worked in the securities industry although he has received the requisite training.

Solutions: