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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following describes an "exempt security," as defined by the Uniform Securities Act (USA)?

A) An exempt security is any security that is being sold in an isolated non-issuer transaction.
B) An exempt security is any security being sold as a private placement.
C) An exempt security is one that need not be registered in the state in which it is sold.
D) An exempt security is any security that is being sold by an institutional investor, such as a bank, to
another institutional investor, such as another bank or an insurance company.

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

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

3. Which of the following would fall under the definition of "agent," as defined by the Uniform Securities Act
(USA)?

A) TrustUs Bank has a subsidiary operation that sells mutual funds to the public.
B) Freedom broker-dealers executes the purchase and sale of securities for its customers.
C) None of the above would fall under the definition of "agent," as defined by the Uniform Securities Act
(USA.)
D) Joe works as an administrative assistant for broker-dealer GetErDone, doing data entry, filing client
forms that contain confidential information, and directing calls to registered representatives of the firm.

4. Which of the following statements is false?

A) The minimum net capital requirement for investment advisers that take custody of their clients' assets
is higher than the net capital requirement for advisers who do not take custody of the assets.
B) A state cannot require a higher minimum net capital for investment advisers than the amount specified
by the Investment Advisers Act of 1940.
C) A state cannot require a higher minimum net capital for broker-dealers than the amount specified by
the Securities Exchange Act of 1934.
D) None of the above statements is false; all are true statements.

5. 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 qualification
C) registration by coordination
D) registration by exception

Solutions: