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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. The 1988 Insider and Securities Enforcement Act indicates that a person convicted of insider trading can be subject to which of the following penalties?

A) up to 10 years in prison and a fine of $1 million or up to 3 times the amount of profits gained, or
B) up to 3 years in prison, a $5,000 fine, or both
C) up to 5 years in prison and a fine of $1,500,000 or both
D) up to 7 years in prison and a fine equal to 200% of the amount of profits gained or losses avoided

2. No: 167
A "market not held" order is

A) an order to sell securities that the investor owns if the stock decreases by a certain amount from the current price.
B) an order in which the client tells the broker to use his own discretion in timing a purchase or sale in an attempt to get a better price.
C) a prohibited activity in which an agent engages in the purchase or sale of securities that are not offered by his broker-dealer.
D) an order to buy or sell a stock at a specified price, which differs from the current market price.

3. Which of the following scenarios would not be considered a "sale," as defined by the Uniform Securities Act (USA)?
I. Yoshito owned shares of Minnow Corporation and received shares of Whale Corporation from Whale when it merged with Minnow.
II. Olivia's uncle, an agent with SecureMoney Brokers, sold Olivia ten call options on the stock of Microsoft.
III. Hans purchased a bond of Indebted Corporation that had detachable warrants and subsequently sold the warrants.
IV. Tom pledged some shares of stock he owned personally to secure a business loan for his company.

A) Neither III nor IV would be considered sales.
B) Neither I nor IV would be considered sales.
C) Neither I nor II would be considered sales.
D) Neither II nor III would be considered sales.

4. Mina is a new agent with SecureMoney Broker-Dealers and is struggling to make ends meet. She gets a job as a receptionist at a fitness club on the weekends to generate more income.
Which of the following is true?

A) Because the job as a receptionist at a fitness club has nothing to do with the world of finance, Mina has done nothing inappropriate.
B) Mina simply needs to tell her immediate supervisor at SecureMoney about her new job.
C) Mina needs to send notice to the state Administrator informing him of her extracurricular activity.
D) Mina should have notified SecureMoney in writing before signing on to work at the fitness club.

5. According to the NASAA Model Rules, which of the following institutions would not be considered a qualified custodian?

A) a broker-dealer that is registered with the state
B) a savings institution that is insured by the FDIC
C) a bank that is insured by a private, state-sponsored insurance company
D) a foreign financial institution

Solutions: