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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Broker-dealer Small & Associates has received a complaint about one of its agents, Mr. Ari Gaunt. Small
& Associates is required to

A) immediately forward the complaint to the Administrator of any state in which Mr. Gaunt is a registered
agent.
B) keep the complaint in Mr. Gaunt's employee file as long as Mr. Gaunt remains employed with the firm.
C) provide the client with a written response to the complaint.
D) call the client who complained and inform him of the disciplinary action that will be taken against Mr.
Gaunt.

2. An investment adviser may not

A) accept any kind of soft dollar compensation for using certain broker-dealers to execute trades on their
clients' accounts.
B) also be registered as a broker-dealer in the state.
C) recommend a stock to a client that the adviser itself holds without disclosing to the client that the
adviser owns the stock.
D) take a position-either long or short-in securities in which any of its clients have a position.

3. 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 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.
C) the practice of buying large amounts of a security to drive its price up artificially.
D) the unethical practice of investment advisers who issue "buy" recommendations for stocks that they
own themselves without disclosing the fact.

4. Maddie, a registered agent affiliated with broker-dealer QuikDeals, quit her job on the spur of the moment.
Under the guidelines of the Uniform Securities Act (USA), who is responsible for notifying the
Administrator?

A) Both QuikDeals and Maddie are responsible for notifying the Administrator.
B) QuikDeals has the sole responsibility for notifying the Administrator. Maddie is no longer deemed to be
an agent after she terminated her relationship with QuikDeals, so she need do nothing.
C) It depends. If Maddie becomes affiliated with another broker-dealer within thirty days, then she must
notify the Administrator of her termination with QuikDeals and her current affiliation with the new firm.
Otherwise, only QuikDeals must notify the Administrator.
D) Maddie has the sole responsibility for notifying the Administrator.

5. Layered Corporation wants to issue a bond that will have warrants attached. Each warrant gives the
holder the right to buy 5 shares of Layered's common stock at a price stipulated on the warrant. In this
instance, Layered must file to register which of the following securities with the state?
I. the bonds
II. the warrants
III. the common stock

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

Solutions: