FINRA Series_63 valid exam dumps : Uniform Securities Agent State Law Examination

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FINRA Series_63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Until yesterday Maddie was a registered agent employed by the broker-dealer, QuikDeals. Yesterday
afternoon, issues that had been brewing between her and another employee of the firm came to a head,
and Maddie impulsively quit her job. At this point,

A) Maddie has thirty days to find a job with another broker-dealer, or she will need to file a new registration
application.
B) Maddie will have to file a new application for registration with the Administrator upon finding
employment with another broker-dealer since she is no longer considered to be a registered agent by the
state.
C) Maddie has sixty days to find a job with another broker-dealer, or she will need to file a new registration
application.
D) Maddie is required to call all of her clients at QuikDeals to inform them she is no longer employed
there.

2. 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) II, III, and IV only
B) I, II, III, and IV
C) II and III only
D) I and II only

3. Assuming there is not a stop order or a proceeding pending, under the registration by coordination
process a security's registration with the state becomes effective:

A) only when it is approved by the state Administrator, who will review the registration documentation
upon notification that SEC approval has been granted.
B) only when it is approved by the state Administrator, regardless of whether it has been approved by the
SEC.
C) immediately after approval by the SEC as long as the registration statement has been on file for at least
2 0 days or the Uniform Securities Act has provided an exemption to this waiting period.
D) immediately subsequent to approval by the SEC, regardless of how long the registration statement has
been on file.

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

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

5. Nancy's Aunt Ethel died, making Nancy executrix of her estate. In going through Aunt Ethel's belongings,
Nancy discovered some stock certificates that she learned had been issued by a small New Jersey firm
that was still in business. The problem lay in the fact that Nancy's Aunt Ethel had moved from New Jersey
to Florida years ago, and the stock is registered only in the state of New Jersey. Nancy herself is a
resident of Massachusetts. What does Nancy have to do in order to sell this stock?

A) Nancy will need to contact a broker-dealer licensed in the state of New Jersey to help her with the sale
of this stock.
B) Nancy will have to establish a mailing address in New Jersey before she can legally sell this stock.
C) Nancy can sell the stock without a problem as executrix of her aunt's estate.
D) Nancy will need to contact a securities law firm in Florida to help her register the stock in the state of
Florida.

Solutions: