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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. To continue operating as an agent, broker-dealer, investment adviser, or investment adviser representative next year, you must pay the filing fee to renew your license with the state Administrator by

A) the anniversary date of the original issue date on your license.
B) January 30th of the new year.
C) January 15th of the new year.
D) December 31st of this year.

2. Treadwater Bank and Trust is selling a portfolio of municipal bonds it owns to the SafeRisk Insurance Corporation. Under the Uniform Securities Act (USA), in this transaction Treadwater is defined as a

A) none of the above.
B) broker-dealer.
C) issuer.
D) agent.

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

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

4. The 1988 Insider and Securities Enforcement Act indicates that a person convicted of insider trading can be subject to which of the following penalties?

A) up to 7 years in prison and a fine equal to 200% of the amount of profits gained or losses avoided
B) up to 3 years in prison, a $5,000 fine, or both
C) up to 5 years in prison and a fine of $1,500,000 or both
D) up to 10 years in prison and a fine of $1 million or up to 3 times the amount of profits gained, or

5. Under the 2002 Uniform Securities Act, registration by coordination allows:

A) both state-registered and out-of-state investment bankers to participate in the underwriting and registration of a new security issue.
B) issuers of federal covered securities to submit only a notice filing with the Administrator of states in which the securities will be offered for sale.
C) federal covered securities to be registered simultaneously with the SEC and with the states in which the securities will be offered for sale.
D) securities that do not fall within the category of federal covered securities to be registered simultaneously with the SEC and with the states in which the securities will be offered for sale.

Solutions: