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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. An individual who represents a broker-dealer in the buying and selling of securities is called a(n):

A) administrator
B) issuer
C) agent
D) underwriter

2. The 1988 Insider and Securities Enforcement Act indicates that a person convicted of insider trading can
be subject to which of the following penalties?

A) up to 3 years in prison, a $5,000 fine, or both
B) up to 10 years in prison and a fine of $1 million or up to 3 times the amount of profits gained, or
C) up to 7 years in prison and a fine equal to 200% of the amount of profits gained or losses avoided
D) up to 5 years in prison and a fine of $1,500,000 or both

3. Your client calls you with a market order to purchase 500 shares of the stock of Oracle and asks when
payment will be due. If today is Wednesday, September 15th, you inform the client that payment is due on

A) Saturday, September 18th.
B) Friday, September 17th.
C) Thursday, September 16th.
D) Monday, September 20th.

4. To say a security is "exempt," means that
I. it is exempt from the state's anti-fraud laws.
II. it is exempt from state registration requirements.
III. any transaction involving it is considered to be an exempt transaction.

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

5. Layered Corporation wants to issue a bond that will have warrants attached. Each warrant gives the
holder the right to buy 5 shares of Layered's common stock at a price stipulated on the warrant. In this
instance, Layered must file to register which of the following securities with the state?
I. the bonds
II. the warrants
III. the common stock

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

Solutions: