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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Registration by coordination is provided for by which of the following federal securities acts?

A) Securities Act of 1933
B) Investment Company Act of 1940
C) Securities and Exchange Act of 1934
D) Investment Advisers Act of 1940

2. The Administrator of a state can deny an application if

A) the registrant has been enjoined from engaging in activities involving securities in another state.
B) any of the above is true.
C) the application is missing information.
D) the Administrator determines the applicant is not financially solvent.

3. An investment adviser or its representative may

A) exercise discretionary power in the purchase or sale of securities for a client's account as long as
B) only exercise any discretionary power in the purchase or sale of securities for a client's account after
receiving written authority prior to the execution of the transactions.
C) exercise discretionary power in the purchase or sale of securities for a client's account only after
D) exercise discretionary power in the purchase or sale of securities for a client's account as long as it
receives written discretionary authority over the account within 10 business days of the first discretionary
transaction placed, assuming oral authority has already been given.

4. You have recently discovered that a security you purchased has not been registered with the state, nor is
it exempt from registration. You can file a civil claim against the seller as long as you do so within

A) three years from discovery or five years from the event, whichever comes first.
B) one year from discovery.
C) two years from discovery or three years from the event, whichever comes first.
D) five years.

5. Alter Advisers & Associates is a small investment adviser partnership registered only in a single state.
One of the partners has died, and the surviving spouse has sold that partnership interest to the surviving
partners. Which of the following statements are true?
I. Alter Advisers must inform the state Administrator of this event.
II. Alter Advisers must inform the SEC of this event.
III. Alter Advisers must notify the firm's clients of this event.

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

Solutions: