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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Your client calls you with a market order to purchase 500 shares of the stock of Oracle and asks when
payment will be due. If today is Wednesday, September 15th, you inform the client that payment is due on

A) Thursday, September 16th.
B) Friday, September 17th.
C) Monday, September 20th.
D) Saturday, September 18th.

2. In its capacity as a full service broker, A-2-Z Associates is also in the investment advisory industry,
charging its clients for investment advice for additional remuneration. One of the firm's clients has been
advised to buy some U.S. government treasury inflation-protected securities (TIPS.) A-2-Z is a dealer in
these securities in the secondary market. Which of the following statements is true?

A) A-2-Z can sell the client TIPS indirectly by getting a 3rd party-another broker-dealer-to effect the sale.
B) A-2-Z can only sell the client TIPS if it informs the client it is acting as the seller in this transaction and
receives the client's written consent before the transaction is settled.
C) A-2-Z can sell the client TIPS from its own portfolio as long as it tells the client that it is taking on the
part of the seller in the transaction.
D) Under no circumstances may A-2-Z sell the client TIPS that A-2-Z holds in its own portfolio. This would
be a conflict of interest.

3. You are a registered agent with a large brokerage firm. Your client is a very busy woman. She is
interested in purchasing 500 shares of Google, but she thinks this morning's opening price is too high.
She's going to be in meetings and then on a transatlantic flight. She wants the purchase to take place
today because she believes Google's price is just going to keep rising with only the occasional daily ups
and downs. She wants you to use your discretion and try to get her the best price for the stock in today's
trading session. Which of the following statements are true?

A) You tell her to have her secretary type up a discretionary authorization for her to sign and drop in the
mail before she boards the plane. As long as the written authorization is in the mail, you can place the
order.
B) You tell her that you can do this for her, but only if you execute it as a margin transaction.
C) You have to tell her that you can't do this without a signed discretionary authorization from her, and
there's none on file.
D) You tell her you can enter it for her as a "market not held" order.

4. 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 been a customer of the firm for at least 6 months.
C) the client has a net worth of at least $500,000.
D) the broker-dealer already has a margin agreement signed by the client in hand.

5. Assuming there is not a stop order or a proceeding pending, under the registration by coordination
process a security's registration with the state becomes effective:

A) only when it is approved by the state Administrator, regardless of whether it has been approved by the
SEC.
B) immediately after approval by the SEC as long as the registration statement has been on file for at least
2 0 days or the Uniform Securities Act has provided an exemption to this waiting period.
C) only when it is approved by the state Administrator, who will review the registration documentation
upon notification that SEC approval has been granted.
D) immediately subsequent to approval by the SEC, regardless of how long the registration statement has
been on file.

Solutions: