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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Individual states are prohibited from requiring a broker-dealer or investment adviser to file financial reports more frequently than:

A) twice a year.
B) once a year.
C) twelve times a year.
D) four times a year.

2. Which of the following orders can an Administrator issue without providing prior notice?

A) license revocation
B) license suspension
C) license denial
D) cease and desist

3. Under NASAA Model Rules, it is permissible for the registered representative of a broker-dealer to split his or her commission with
I. a client.
II. the broker-dealer with which the registered representative is affiliated.
III. another registered representative working for the same broker-dealer.
IV. the administrative assistant who directs calls to the registered representative and provides other services for the agent.

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

4. When a customer files a complaint with a broker-dealer,
I. the broker-dealer must submit the complaint to the firm's compliance department.
II. the broker-dealer must provide a prompt written response to the complainant.
III. the broker-dealer must temporarily suspend the activities of any agent named in the complaint.

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

5. In order to maintain its registration with a state, a broker-dealer may be required to:
I. take a written or oral exam.
II. pay an annual filing fee.
III. maintain a minimum net capital.
IV. file all advertising material with the Administrator.

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

Solutions: