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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Kevin has a pair of season tickets to the Boston Red Sox games. He and his wife can't attend all the games themselves, so Kevin has created "packages" of eight games each that he is listing for sale on Craig's List.
Do these "packages" meet the definition of securities, and, if so, does Kevin need to register them with the state before offering them for sale?

A) Only if Kevin will be selling the packages at or below cost are the packages not considered to be securities, in which case Kevin will not have to register them with the state.
B) Statements A and B are both true statements.
C) If Kevin will be profiting from the sale of the packages, the packages are defined to be securities, but since he's selling the packages to only a few people, he will not have to register them with the state.
(Kevin may, however, be guilty of violating ticket scalping laws.)
D) The packages are not considered to be securities since each package is merely a purchase and sale agreement between Kevin and another person. There is no third party involved. Because they do not meet the definition of securities, Kevin does not need to register them with the state.

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) Yes, as long as your brother provides your firm with his written consent.
B) Maybe. But it will require written consent from both your brother and your firm.
C) Yes. This is permitted since the agreement is between you and a family member.

3. Which of the following constitutes a non-punitive order?

A) All of the above are punitive orders.
B) registration cancellation
C) registration denial
D) summary license suspension

4. Which of the following describes an "exempt security," as defined by the Uniform Securities Act (USA)?

A) An exempt security is any security that is being sold in an isolated non-issuer transaction.
B) An exempt security is one that need not be registered in the state in which it is sold.
C) An exempt security is any security being sold as a private placement.
D) An exempt security is any security that is being sold by an institutional investor, such as a bank, to another institutional investor, such as another bank or an insurance company.

5. Which of the following does not describe a prohibited practice for broker-dealers under the NASAA Model Rules?
I. SecureMoney Broker-Dealers has received a request from a client who wants SecureMoney to "identify a few solid firms in the Asian market and invest up to $20,000 in them." SecureMoney executes the purchases and receives the requisite signed discretionary authorization from the client before the settlement date.
II. CanDo Broker-Dealers executes a margin transaction for a client, promptly receiving a signed, written margin agreement from the client after the transaction takes place.
III. GetErDone Broker-Dealers receives a call from a client who wants to purchase some securities on margin.
GetErDone has the client come into the office to sign a properly executed margin agreement prior to effecting the transaction.

A) II and III only
B) None of the selections are prohibited practices.
C) III only
D) I and III only

Solutions: