FINRA Series_63

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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. The net worth of a broker-dealer has fallen below the minimum net capital requirement specified by the
state in which the broker-dealer is registered. This broker-dealer must notify the Administrator of this fact

A) within a week's time.
B) before the beginning of the next quarter.
C) before the end of the month.
D) by the close of business on the next business day.

2. You are an agent with a broker-dealer and have learned of limited partnership interests being sold by a
small company that is planning to come out with a product that you think is going to "wow" the market.
You would like to get in on the action, but the minimum investment needed is $10,000, and you don't have
that kind of dough lying around. You talk to your brother, who is also one of your clients, and get him
interested in investing in the firm, too. The two of you decide to pull your money together, each putting in
$ 5,000, and you agree to split any profits or losses. Is this permitted?

A) No. Under no circumstances can an agent enter a joint investment with a client under the guidelines of
the Uniform Securities Act.
B) Maybe. But it will require written consent from both your brother and your firm.
C) Yes, as long as your brother provides your firm with his written consent.
D) Yes. This is permitted since the agreement is between you and a family member.

3. The Administrator may require a firm to supply it with any prospectus, pamphlet, advertisement, or other
sales literature intended for prospective investors unless the security
I. will be sold only through an investment advisory firm.
II. is a federal covered security.
III. is issued by a state credit union.

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

4. 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.

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

Solutions: