FINRA Series63 real exam prep : Uniform Securities Agent State Law Examination

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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Ms. Naivete gave Mr. Smooth, owner of Smooth Construction, $40,000 in return for a promissory note that promised to pay interest at the rate of 8% a quarter, with a repayment of principal at the end of two years. The money would be used by Mr. Smooth to rehab a few beach condo units that had been severely hurricane-damaged and that Mr. Smooth had been able to purchase for "pennies on the dollar," or so he said.
The first units would be completed within a month, and the rents would be used to make the interest payments.
The investment was almost as risk-free as U.S. government bonds, Mr. Smooth claimed. By the end of the second year, Ms. Naivete had received a lot of fast talk and only one of the promised interest payments.
Have there been any violation of securities laws in this instance?

A) Both B and C are true statements.
B) Yes. Mr. Smooth was required to register the promissory note before he offered it for sale.
C) Yes. Ms. Naivete has been defrauded by Mr. Smooth.
D) No. This was simply a loan transacted between two parties.

2. Which of the following statements is false?

A) A state cannot require a higher minimum net capital for investment advisers than the amount specified by the Investment Advisers Act of 1940.
B) None of the above statements is false; all are true statements.
C) The minimum net capital requirement for investment advisers that take custody of their clients' assets is higher than the net capital requirement for advisers who do not take custody of the assets.
D) A state cannot require a higher minimum net capital for broker-dealers than the amount specified by the Securities Exchange Act of 1934.

3. on No: 239
A tombstone advertisement is

A) an offer to sell a new security that is being issued by an Arizona firm.
B) an offer to sell a new security.
C) the announcement of a new security that may become available for purchase.
D) the only type of advertisement that an investment advisory firm is allowed to use.

4. Which of the following securities would not necessarily be exempt from state registration?

A) a bond issued by another state's employees' credit union
B) a stock listed as a NASDAQ National Market Issue.
C) a bond guaranteed by the Canadian government
D) a stock listed on the Tokyo Stock Exchange

5. Under the NASAA Model Rules, the statute of limitations for civil liabilities is

A) the earlier of three years after the discovery of facts and five years after the violation.
B) three years after the discovery of the facts and four years after the violation, whichever is greater.
C) the earlier of two years after the discovery of facts and three years after the sale.
D) the earlier of two years after the discovery of the facts and four years after the violation.

Solutions: