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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. The settlement date refers to

A) the date the order to purchase or sell a security is actually executed. This may differ from the date that the order is sent to the market in the cases of limit or stop orders.
B) the date the order to purchase or sell the security is sent to the market.
C) the date the buyer must pay for the securities purchased.
D) the latest date on which broker-dealers can file their quarterly financial statements with the Administrator of the state.

2. Under NASAA Model Rules, it is permissible for the registered representative of a broker-dealer to split his or her commission with
I. a client.
II. the broker-dealer with which the registered representative is affiliated.
III. another registered representative working for the same broker-dealer.
IV. the administrative assistant who directs calls to the registered representative and provides other services for the agent.

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

3. Which of the following would not appear on a trade confirmation?

A) the settlement date
B) All of the above items appear on a trade confirmation.
C) the commission
D) the client's account number

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) 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
D) 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.

5. Rich Quick is a broker-dealer registered in the state of Massachusetts. He occasionally trades on abnormalities he observes in bond yield spreads for his own account, short selling a bond that appears to be overpriced based on its yield and buying a bond that is identical in almost every respect except for the price, which is less than that of the other bond. He has been able to earn arbitrage profits 95% of the time when he does this. Rich Quick

A) is trading on insider information, which is a violation of securities laws.
B) engaged in a fraudulent activity.
C) is skilled if he is able to earn profits 95% of the time using this strategy.
D) is in violation of securities laws. Arbitrage is a prohibited activity.

Solutions: