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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Most individual state securities laws today are based on:

A) the Gramm-Leach-Bliley Act of 1999.
B) the Uniform Securities Act of 2002.
C) the Uniform Securities Act of 1956.
D) the National Securities Markets Improvement Act of 1996.

2. The Uniform Securities Act (USA) is

A) federal legislation that requires all states to adopt the same registration requirements for all.
B) a set of guidelines for individual states to follow when formulating their own securities' laws.
C) a group of laws requiring state-issued securities, such as municipal bonds, to be registered with.
D) a body of laws governing the purchase and sale of securities within a single state.

3. Under the guidelines of the Bank Secrecy Act (BSA), the Treasury Department now requires broker-dealers to obtain and keep certain information relating to clients that make or receive funds transfers that involve

A) $100,000 or more.
B) $10,000 or more.
C) $5,000 or more.
D) $3,000 or more.

4. If a person has had its license revoked by the Administrator of the state and has appealed the decision to a court of law, that person

A) can continue business as usual pending the resolution of the appeal.
B) must notify the Administrator of the state that it has appealed the decision.
C) Both B and C are true statements.
D) is considered to have a revoked license until the courts rule otherwise.

5. Which of the following entities is subject to be accused of churning?
I. investment advisers
II. investment adviser representatives
III. broker-dealers
IV. agents

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

Solutions: