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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. A variable annuity is:

A) not a security, but is still required to be registered with the state before it can be offered for sale.
B) a security, but is exempt from state registration.
C) a security and, therefore, has to be registered with the state before it can be offered for sale.
D) not a security and, therefore, does not have to be registered with the state.

2. Under which of the following scenarios can a client legitimately sue a purported professional in the
securities industry and expect an award for damages?
I. The securities were sold by an agent whose registration was not yet effective with the state, but who
had already applied for registration.
II. The security was a variable annuity, and the sales representative neglected to reveal the details of the
surrender clause to the client.
III. The security was the stock of a company, the stock had recently been registered with the state for sale,
had been granted registration, and the selling agent had told his client that the security had been
state-approved for sale.

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

3. Which of the following laws deals with identity theft protection?

A) the Bank Secrecy Act (BSA)
B) ERISA
C) Regulation S-P
D) the USA Patriot Act

4. According to the NASAA Model Rules, which of the following institutions would not be considered a
qualified custodian?

A) a bank that is insured by a private, state-sponsored insurance company
B) a foreign financial institution
C) a broker-dealer that is registered with the state
D) a savings institution that is insured by the FDIC

5. Iggy recently started his own company. He soon discovered it required more cash to keep it going than he
had anticipated. He ran an ad in the local paper for investors and got a response. He found a template for
a promissory note on the internet, filled in the requisite information specific to the agreement he and the
investor had worked out, and printed it out. On it, he promised to make monthly interest payments of 2%
on the loan and to repay the principal amount at the end of 18 months. A few months after the
arrangement, Iggy read an article in a small business publication that indicated that promissory notes had
to be registered with the state unless they were sold in an exempt transaction, such as one enacted with a
financial institution, prior to being offered for sale. The article indicated that a seller who had sold an
unregistered note in error could remedy the situation by sending the buyer a formal offer to buy the
security back, with interest. Iggy turned to the computer once again, found a form that could be used for a
formal offer of rescission, filled it out, and sent it to the investor. Having done this,

A) Iggy will not be assessed any penalties by the Administrator of the state, but the investor can still sue
for damages in civil court.
B) Iggy cannot be sued for civil damages if the investor fails to respond to the offer within 30 days.
C) Iggy must wait 6 months for a response from the investor. If no response is received by the end of 6
months, Iggy is off the hook.
D) Iggy must follow up with a second notice sent via registered mail if he has not heard from the investor
within 30 days.

Solutions: