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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following trades is illegal?

A) a market-not-held order
B) a short sale
C) a margin transaction
D) the sale of a mutual fund if the purchaser hasn't received a prospectus

2. Shady Corporation's executives are concerned over the firm's steadily declining stock price and decide to
do something about it. They each decide to make significantly large purchases of their firm's stock in
order to stabilize and hopefully even to drive up its price, reasoning that they can sell the stock for the
higher price down the road and profit from the transaction. You are a broker-dealer for the firm's
executives. Are Shady's executives planning to do anything illegal?

A) Yes. To purchase shares of their own company is considered to be illegal insider trading.
B) Yes. Although it is not illegal for them to purchase shares of their firm's stock, they cannot do so in
order to try to manipulate the price of the stock.
C) No. It's a win-win. They are using their own money to buy stock of their firm, and this can help drive the
stock price up and put profits in their pockets.
D) No. As long as they follow the rules and report their purchases to the SEC, it is not illegal for them to
purchase shares of their firm's stock.

3. A broker-dealer of commodity futures contracts has been profiting by trading for its own account either
before or after executing a client's trade on the same commodity, depending on which will be most
advantageous. Under the Uniform Securities Act, the broker-dealer is guilty of

A) unauthorized transactions.
B) fraud.
C) churning.
D) nothing. The Uniform Securities Act (USA) deals only with securities, and a commodity futures contract
is not a security.

4. Under the 2002 Uniform Securities Act, registration by coordination allows:

A) issuers of federal covered securities to submit only a notice filing with the Administrator of states in
which the securities will be offered for sale.
B) federal covered securities to be registered simultaneously with the SEC and with the states in which
the securities will be offered for sale.
C) securities that do not fall within the category of federal covered securities to be registered
simultaneously with the SEC and with the states in which the securities will be offered for sale.
D) both state-registered and out-of-state investment bankers to participate in the underwriting and
registration of a new security issue.

5. Which of the following would not be found in a tombstone advertisement?

A) the names of the underwriters
B) the interest rate and time to maturity of a bond issue
C) the price at which the security will be offered
D) the name of the issuer

Solutions: