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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

Question 1

A client calls CanDo Broker-Dealers with a market-not-held order to buy 5,000 shares of China Security
and Surveillance Technology, Inc. (CSR), which sells on the NYSE, "at a good price today." The stock had
opened at $5.13, traded as high as $5.36 during the day, and closed at $5.10. CanDo executed the
purchase at a price of $5.31, so at market close, the client had lost $1,050. The client can

A. do nothing about it.
B. refuse to pay CanDo commissions for the purchase.
C. sue CanDo for not getting him the best price of the day-or anything close to it.
D. refuse to pay for the stock on the settlement date.

Question 2

Finn Nance has recently passed his CFP exam and is now a certified financial planner. He has new
business cards printed that have the words "Certified Financial Planner" printed under his picture. In doing
so,

A. Finn has not violated any laws or engaged in any prohibited practices.
B. Finn has violated a securities law. The Uniform Securities Act prohibits anyone from using the word
"certified" on any advertisement for services.
C. Finn is not in violation of any laws as long as he has notified the state Administrator of his new
designation and his new logo.
D. Finn has possibly violated a state securities regulation. The Administrator in many states prohibits the
use of the word "certified" on any advertisement for services.

Question 3

You have passed the necessary exams (congratulations!) and are applying for registration as a securities
agent. It is already the end of September. Therefore, you must pay

A. one-fourth of the annual fee required since only one quarter of the year remains.
B. the full annual fee, and your license will expire on September 30th next year.
C. the full annual fee, and your license will expire on December 31st next year.
D. the full annual fee, and your license will expire on December 31st this year.

Question 4

The Administrator may not introduce a stop order to deny, revoke, or suspend the effective registration of
a security based on facts that were disclosed during the registration process unless he does so within

A. 60 days.
B. 45 days.
C. 1 year.
D. 30 days.

Question 5

Skip is a registered agent with state. He recently quit his job with Venus Broker-Dealers to become
affiliated with Mars Broker-Dealers. Which of the three entities must report this change to the state
Administrator?

A. Skip only
B. Both Skip and Venus
C. Skip and either Mars or Venus, but not both
D. Skip, Mars, and Venus

Solutions: