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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Once you have passed the Series 63 examination, which entity must then approve your application to sell
securities?

A) the state administrator
B) SEC
C) FINRA
D) NASAA

2. A broker-dealer is required to keep his records for how long?

A) A broker-dealer is required to keep his records for as long as he is registered in the state.
B) at least five years
C) at least seven years
D) at least three years

3. A "notice filing" refers to

A) the filing by a federal covered investment adviser of forms already filed with the SEC along with a
consent to service of process with the state Administrator.
B) notification to the public by the issuer or its underwriters that the issue is being sold on an "all or
nothing" basis.
C) a document that the issuer must file with the SEC informing the SEC that the firm has applied to the
state for registration of its new security.
D) the right of an issuer to run tombstone ads in the newspapers and other publications upon filing a
registration application with the state Administrator.

4. A broker-dealer of commodity futures contracts has been profiting by trading for its own account either
before or after executing a client's trade on the same commodity, depending on which will be most
advantageous. Under the Uniform Securities Act, the broker-dealer is guilty of

A) unauthorized transactions.
B) nothing. The Uniform Securities Act (USA) deals only with securities, and a commodity futures contract
is not a security.
C) churning.
D) fraud.

5. Which of the following actions is the Administrator of a state empowered to take?

A) require restitution for the victims of a scam
B) gather evidence
C) impose civil penalties in cases of fraud
D) The Administrator of a state has the authority to take all of the above actions.

Solutions: