About FINRA Uniform Securities Agent State Law Examination : Series63 Exam Questions

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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Assuming the security is not registered under the Uniform Securities Act, which of the following would not be exempt from state registration?

A) a stock that is listed on the American Stock Exchange
B) a variable annuity contract offered by an insurance company with offices in the state
C) a put option on a stock that sells in the over-the-counter market
D) a stock that is listed on the OTC Bulletin Board

2. Price pegging refers to

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

3. Once you have passed the Series 63 examination, which entity must then approve your application to sell securities?

A) the state administrator
B) FINRA
C) NASAA
D) SEC

4. In accordance with the National Securities Markets Improvement Act of 1996, which of the following is a federal covered adviser and, therefore, exempt from registering with the state Administrator?
I. An adviser who does business in 26 states.
II. An adviser who manages the portfolio of a mutual fund that is registered with the SEC.
III. An adviser with $35 million in assets under management

A) I and II only
B) I and III only
C) II and III only
D) All of the selections meet the qualifications of a federal covered adviser.

5. A broker-dealer cannot legally be

A) A broker-dealer can be any of the above.
B) a partnership.
C) an individual.
D) a sole-proprietorship.

Solutions: