FINRA Series_63

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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. 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 has thirty days to find a job with another broker-dealer, or she will need to file a new registration
application.
C) Maddie is required to call all of her clients at QuikDeals to inform them she is no longer employed
there.
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.

2. The settlement date refers to

A) the date the order to purchase or sell a security is actually executed. This may differ from the date that
the order is sent to the market in the cases of limit or stop orders.
B) the date the buyer must pay for the securities purchased.
C) the date the order to purchase or sell the security is sent to the market.
D) the latest date on which broker-dealers can file their quarterly financial statements with the
Administrator of the state.

3. Assuming the security is not registered under the Uniform Securities Act, which of the following would not
be exempt from state registration?

A) a stock that is listed on the American Stock Exchange
B) a stock that is listed on the OTC Bulletin Board
C) a put option on a stock that sells in the over-the-counter market
D) a variable annuity contract offered by an insurance company with offices in the state

4. Nat Smart was employed as an investment adviser representative and sold many of his clients on a
municipal bond fund of which he was fond, telling his clients that the returns earned on it were completely
free from federal taxation. Unfortunately, he had some unhappy clients when, at the end of the year, they
discovered that they had to pay federal tax on the capital gains earned by the fund when it sold some of
the bonds it held. Nat was as surprised as they were. Based on these facts, which of the following
statements is necessarily true?
I. Because Nat was as surprised as they were, he is guiltless.
II. Nat is subject to civil liability payments.
III. Nat will be subject to the criminal penalties for fraud and may spend time in prison.

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

5. Penny Swyne, an agent employed by Bear Broker-Dealers, has received a written complaint via e-mail
from Mr. Wolf regarding her performance as his agent. What are Ms. Swyne's legitimate options?

A) As illegal as it may sound, since the complaint was via e-mail, Ms. Swyne can hit the delete button and
make it all go away.
B) Ms. Swyne must forward the complaint to the state Administrator.
C) Ms. Swyne can call Mr. Wolf and offer to meet him for a romantic dinner and try to convince him to
revoke the complaint.
D) Ms. Swyne must provide Bear Broker-Dealers with a copy of the complaint.

Solutions: