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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Nancy's Aunt Ethel died, making Nancy executrix of her estate. In going through Aunt Ethel's belongings, Nancy discovered some stock certificates that she learned had been issued by a small New Jersey firm that was still in business. The problem lay in the fact that Nancy's Aunt Ethel had moved from New Jersey to Florida years ago, and the stock is registered only in the state of New Jersey. Nancy herself is a resident of Massachusetts.
What does Nancy have to do in order to sell this stock?

A) Nancy will need to contact a broker-dealer licensed in the state of New Jersey to help her with the sale of this stock.
B) Nancy will need to contact a securities law firm in Florida to help her register the stock in the state of Florida.
C) Nancy will have to establish a mailing address in New Jersey before she can legally sell this stock.
D) Nancy can sell the stock without a problem as executrix of her aunt's estate.

2. A "notice filing" refers to

A) the filing by a federal covered investment adviser of forms already filed with the SEC along with a consent to service of process with the state Administrator.
B) the right of an issuer to run tombstone ads in the newspapers and other publications upon filing a registration application with the state Administrator.
C) a document that the issuer must file with the SEC informing the SEC that the firm has applied to the state for registration of its new security.
D) notification to the public by the issuer or its underwriters that the issue is being sold on an "all or nothing" basis.

3. Which of the following entities must sign a "consent to service of process," thereby allowing the Administrator to receive legal documents that are meant to be served to the entity in place of that entity?
I. agents
II. investment advisers
III. investment adviser representatives
IV. broker-dealers

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

4. After passing the necessary exams, you must submit which of the following to the state Administrator when applying for registration as an agent?

A) Form ADV
B) U-4
C) proof that you meet the state's minimum net capital requirement
D) a recent photograph of yourself

5. 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) Neither the notes nor the individuals selling the notes need to be registered with the state.
B) 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.
C) The notes must be registered with the state, but the individuals hired to sell them are not required to be registered.
D) 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.

Solutions: