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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

Question 1

A hypothecation agreement refers to

A. a document signed by a client indicating that he or she understands that some of the charts and examples presented in a broker-dealer's advertising literature are based on hypothetical trades.
B. an agreement wherein a client gives his broker-dealer discretion to purchase securities that the broker-dealer deems appropriate in whatever quantity the broker-dealer feels appropriate and at a time and price the broker-dealer believes is a good deal.
C. an agreement signed by a client who is executing a margin transaction that allows the broker to hold the margined securities in street name as collateral for the loan.
D. an agreement that a client must sign prior to executing any short sales with the broker-dealer.

Question 2

No: 93
The net worth of a broker-dealer has fallen below the minimum net capital requirement specified by the state in which the broker-dealer is registered. This broker-dealer must notify the Administrator of this fact

A. by the close of business on the next business day.
B. before the beginning of the next quarter.
C. within a week's time.
D. before the end of the month.

Question 3

You are an investment adviser representative. Your client, Mr. I. M. Pulse, calls you with what he thinks is exciting news. He just passed a restaurant and saw Microsoft's Bill Gates having lunch with a local entrepreneur who owns a small firm in the computer software industry that trades on the OTC pink sheets. He is sure that this means Microsoft is negotiating a purchase of the smaller company and instructs you to take the cash balance in his account and buy shares of the local company. You should

A. do both A and B.
B. tell Mr. I.M. Pulse that this would be an illegal insider trade and that you are unable to fulfill his request.
C. call your supervisor and alert him immediately of Mr. Pulse's attempt to have you place an illegal order on his behalf in case Mr. Pulse decides to place the order elsewhere.
D. advise Mr. Pulse that he may be jumping the gun, but place the order if he insists.

Question 4

A broker-dealer cannot legally be

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

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

Solutions: