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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. A broker-dealer will be found guilty of churning an account if the account has a turnover ratio of

A) five.
B) There is no specified turnover ratio assigned to the prohibited practice of churning.
C) eight.
D) four.

2. Trevor is currently a registered agent in the state of Connecticut where he has been employed by Connect & Company, a broker-dealer that is registered in Connecticut and has subsidiary operations in Massachusetts, New Jersey, and New York. Trevor has moved to Massachusetts and is now associated with one of Connect's subsidiaries, a broker-dealer registered in the state. Trevor has applied to the Administrator of Massachusetts for registration as an agent.
Can Trevor execute purchases and sales for clients while his registration is still pending?

A) It depends. Trevor can execute some purchases and sales, but only for clients that he already had who may have recently relocated to Massachusetts and only for sixty days while his registration is pending.
B) Yes. Because Trevor is a registered agent in another state and is affiliated with a broker-dealer that is registered in the state of Massachusetts, he is not restricted from executing trades.
C) Yes. Trevor can execute trades for new clients he solicits, but only for sixty days while his registration is pending.
D) No. Until he is informed by the Administrator of Massachusetts that his application has been accepted, Trevor may not affect any securities transactions in Massachusetts.

3. To continue operating as an agent, broker-dealer, investment adviser, or investment adviser representative next year, you must pay the filing fee to renew your license with the state Administrator by

A) January 15th of the new year.
B) January 30th of the new year.
C) the anniversary date of the original issue date on your license.
D) December 31st of this year.

4. In which of the following scenarios will the investment adviser be subject to criminal fraud charges?

A) An adviser sells its shares of TweedleDee Corporation after issuing a report recommending the stock as a "buy."
B) An adviser owns the stock of TweedleDee Corporation and has issued a report recommending the stock as a "buy" without disclosing the fact that it owns the stock.
C) all of the above. It is considered criminal fraud for an investment adviser to make any recommendations on a security in which it has or plans to have a position.
D) An adviser owns the stock of TweedleDee Corporation and has issued a report recommending the stock as a "buy," disclosing the fact that it owns the stock

5. The Turnover Corporation, a firm with 25,000 employees, has recently hired 50 new employees, many of whom have been hired to replace middle-level managers who have retired. Turnover has omitted this fact from its prospectus. Turnover is guilty of

A) misusing insider information.
B) fraud.
C) misrepresentation.
D) nothing. The hiring of 50 new employees by a firm with 25,000 employees is not a material fact.

Solutions: