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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. 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) notification to the public by the issuer or its underwriters that the issue is being sold on an "all or nothing" basis.
D) 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.

2. For how long after the effective date is a security's registration valid?

A) one year
B) two years
C) three months
D) six months

3. "Federal covered securities" were defined and exempted from state registration requirements by the:

A) Gramm-Leach-Bliley Act of 1999 (GLBA.)
B) National Conference of Commissioners on Uniform State Laws (NCCUSL.)
C) National Securities Markets Improvement Act of 1996 (NSMIA.)
D) Uniform Securities Act (USA.)

4. Which of the following statements regarding an open-end investment company is not true?

A) Its shares may sell for either net asset value or greater than net asset value, but not below
B) Its shares are bought and sold through the company.
C) Its shares are bought and sold on exchange floors.
D) Its securities are federal covered.

5. Shady Corporation's executives are concerned over the firm's steadily declining stock price and decide to do something about it. They each decide to make significantly large purchases of their firm's stock in order to stabilize and hopefully even to drive up its price, reasoning that they can sell the stock for the higher price down the road and profit from the transaction. You are a broker-dealer for the firm's executives.
Are Shady's executives planning to do anything illegal?

A) Yes. Although it is not illegal for them to purchase shares of their firm's stock, they cannot do so in order to try to manipulate the price of the stock.
B) Yes. To purchase shares of their own company is considered to be illegal insider trading.
C) No. As long as they follow the rules and report their purchases to the SEC, it is not illegal for them to purchase shares of their firm's stock.
D) No. It's a win-win. They are using their own money to buy stock of their firm, and this can help drive the stock price up and put profits in their pockets.

Solutions: