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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Under the NASAA Model Rules, the statute of limitations for civil liabilities is

A) the earlier of three years after the discovery of facts and five years after the violation.
B) the earlier of two years after the discovery of the facts and four years after the violation.
C) the earlier of two years after the discovery of facts and three years after the sale.
D) three years after the discovery of the facts and four years after the violation, whichever is greater.

2. MoeMoney Investment Advisers, LLC is registered in the state of Texas, and its three offices are all
located in the greater Dallas-Fort Worth area. Five of its clients-all individuals-have relocated to Colorado
and all have indicated a desire to retain the services of MoeMoney. In order for this to be possible,

A) Neither MoeMoney nor its clients need do anything.
B) each client will have to write a letter to the Administrator of the state of Colorado on MoeMoney's
behalf.
C) MoeMoney will need to apply for and be granted registration as an investment adviser representative in
the state of Colorado.
D) MoeMoney will need to apply for and be granted registration as an investment adviser in the state of
Colorado.

3. It has come to the attention of the Administrator of the state that Samuel Shyster provided false
information on his application to become a registered investment adviser with the state. Prior to revoking
Samuel's license, the Administrator will provide Samuel with which of the following?
I. prior notice
II. an opportunity to fill out a new registration statement
III. an opportunity for a hearing
IV. a written statement regarding the facts and the legal consequences

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

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

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

Solutions: