FINRA Series63 : Uniform Securities Agent State Law Examination

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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Ari Gaunt is a registered agent employed by Small &Associates Broker-Dealers. He has been notified of a hearing regarding the revocation of his license for making unauthorized trades on some of his clients' accounts.
Which of the following statements is necessarily true?

A) If Ari is found guilty and has his license revoked, Small & Associates will have its license revoked as well and must reapply for reinstatement by filling out an application and paying the requisite filing fees.
B) The Administrator of the state can assess Ari with both civil and criminal penalties.
C) If Ari is found guilty and has his license revoked, Small & Associates will be subject to a fine.
D) If Ari is found guilty and has his license revoked, he can appeal the decision in a court of law if he files the appeal within sixty days.

2. Price pegging refers to

A) the prohibited practice of excessively trading on a client's account that is used by some broker-dealers and/or their agents to generate more commissions for themselves.
B) the unethical practice of investment advisers who issue "buy" recommendations for stocks that they own themselves without disclosing the fact.
C) the practice of buying large amounts of a security to drive its price up artificially.
D) the illegal activity of a group of investors who buy and sell a security among themselves to create an artificially high volume of trading in hopes of luring investors to buy the security.

3. According to the NASAA Model Rules, a broker-dealer is not permitted to allow a customer to engage in margin transactions unless

A) the broker-dealer receives a margin agreement signed by the client promptly after the client's first margin transaction.
B) the client has a net worth of at least $500,000.
C) the broker-dealer already has a margin agreement signed by the client in hand.
D) the client has been a customer of the firm for at least 6 months.

4. Newbie Corporation is considering the possibility of an interstate initial public offering (IPO) of its stock. In the initial meetings with BigFee Investment Bankers, Newbie has learned that the underwriting spread will be
15%. Although the actual offering price won't be set until Newbie's registration statement is approved by the SEC, BigFee has indicated that the offer price will probably be between $3 and $4 a share and that the stock will initially be listed on the OTC Bulletin Board.
What methods for state registration does Newbie have available?
I. registration by coordination
II. registration by notification
III. registration by qualification

A) Method II only
B) Methods I and III only
C) Newbie may elect to register by any one of the above methods although registration by qualification would be the most burdensome choice.
D) Method I only

5. The Administrator may require a firm to supply it with any prospectus, pamphlet, advertisement, or other sales literature intended for prospective investors unless the security
I. will be sold only through an investment advisory firm.
II. is a federal covered security.
III. is issued by a state credit union.

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

Solutions: