FINRA Series63

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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Sam Shyster had his day in court-and lost. His license to do business as an investment adviser in the state has been revoked. What legitimate options does Sam have available to him now?

A) Sam can move to another state and apply for registration as an investment adviser there.
B) Sam has 45 days in which to file an appeal with the attorney general.
C) Sam can register with the SEC as an investment adviser, which will exempt him from state registration requirements.
D) Sam has 60 days to file an appeal of the decision in a court of law.

2. Bootstraps, Inc. is a family-owned business that has experienced enormous growth in the last couple of years.
The business needs more cash to support this growth and has decided to issue some promissory notes, each with a face value of $5,000, for sale to the general public. The firm plans to hire three individuals to help them sell these notes. These individuals will earn a commission based on the notes they sell.
Given these facts, which of the following is true?

A) Either the firm must register the notes with the state, or the individuals that are hired to sell the notes must be registered as agents with the state, but not both.
B) Neither the notes nor the individuals selling the notes need to be registered with the state.
C) The notes must be registered with the state, and the three individuals hired to sell the notes must be registered as agents with the state.
D) The notes must be registered with the state, but the individuals hired to sell them are not required to be registered.

3. on No: 9
Rich Writewell wants to begin publishing an independent weekly financial newsletter that will provide investment recommendations as well as other financial news items to the general public. Rich hopes that his newsletter will achieve nationwide circulation within a few months.
Which of the following statements is true?

A) Rich will have to register as an investment adviser only if he sells this newsletter to the public. If the publication is to be distributed free of charge, he will not have to register.
B) Rich will not have to register as an investment adviser since he is publishing a legitimate financial newsletter for distribution to the general public.
C) Rich may be exempt from registering as an investment adviser if he is a lawyer, accountant, engineer, or teacher. Otherwise, he will have to register.
D) Rich will have to register as an investment adviser since his publication will include investment recommendations.

4. Which of the following constitutes a non-punitive order?

A) All of the above are punitive orders.
B) summary license suspension
C) registration cancellation
D) registration denial

5. You are a newly licensed agent and are making cold calls to generate business. According to the Telephone Consumer Protection Act of 1991 (TCPA), you may only place your calls between the hours of

A) 8 a.m. and 7 p.m., based on your prospective customer's time zone.
B) 8 a.m. and 9 p.m., based on your time zone.
C) 8 a.m. and 9 p.m., based on your prospective customer's time zone.
D) 8 a.m. and 7 p.m., based on the Pacific Time Zone.

Solutions: