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FINRA Uniform Securities Agent State Law Examination - Series_63 real prep

Series_63
  • Exam Code: Series_63
  • Exam Name: Uniform Securities Agent State Law Examination
  • Updated: Oct 12, 2025
  • Q & A: 255 Questions and Answers
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  • PDF Price: $59.98
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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. Which of the following are examples of the prohibited practice of manipulation in the securities markets?
I. Broker-Dealer Joker is unhappy with its investment in the stock of a speculative firm and engages
another broker-dealer to purchase a large number of shares from it, with the unofficial agreement to buy
back those shares, offer more shares which the second broker-dealer will purchase, and so on.
II. Broker-Dealer Joker has a large short position in the stock of a certain corporation. Joker offers a
bonus to its agents who effect sale transactions in the stock.
III. A client calls Broker-Dealer Joker with a request to purchase 20 bonds issued by Massachusetts
Institute of Technology (MIT.) The bonds are currently selling for their par value of $1,000. Knowing this,
Joker offers to sells the client the bonds for $120 per $100 of par, or $1,200 per $1,000 bond.

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


2. The Administrator may not introduce a stop order to deny, revoke, or suspend the effective registration of
a security based on facts that were disclosed during the registration process unless he does so within

A) 1 year.
B) 45 days.
C) 60 days.
D) 30 days.


3. Which of the following compensation arrangements between an investment adviser and an individual
client with a net worth of $600,000 would be disallowed?

A) The investment adviser will receive 0.1% of the gross capital gains earned on the portfolio each
quarter.
B) The investment adviser will receive 0.1% of the total value of the client's assets under management as
of the end of each month.
C) All of the above are legitimate compensation arrangements between and investment adviser and an
individual client with a net worth of $600,000.
D) The client agrees to pay the investment adviser an hourly fee of $60.00.


4. Noah Scruples, an agent with CanDo Broker-Dealers, just got a copy of the most recent report on a
certain stock. The report was generated by CanDo's analyst department and is hot off the presses. It has
not yet even been put on the firm's website for the firm's clients.
The analyst department has just changed its recommendation on the stock from "Hold" to "Strong Buy"
based on new information that it has obtained on the company. Can Noah
rush to his office to buy shares of the stock before the analysts release their reports to CanDo's clients?

A) Yes. The firm's analysts used publicly available information to assess the stock and make its
recommendation, so Noah can buy the stock now on his own account.
B) No. It is unethical for him to trade based on this information before the firm's clients have received the
information.
C) Both B and C are true statements.
D) No. This is a prohibited activity referred to as "painting the tape."


5. S. White and Associates is an investment adviser registered in the state of Kentucky and, as such, is
meeting Kentucky's minimum net capital requirement for investment advisers. The firm recently registered
with the state of Virginia and has opened an office there. Virginia has a significantly higher net capital
requirement for its investment advisers. Which of the following statements is true?

A) According to the Investment Advisers Act of 1940, S. White will have to maintain a minimum net capital
equal to the average of the net capital requirements of the two states.
B) According to the Investment Advisers Act of 1940, S. White needs only to meet the net capital
requirement of Kentucky.
C) According to the Securities Exchange Act of 1934, S. White needs to meet at least the minimum net
capital requirement specified by that Act since it is now operating in multiple states.
D) According to the Uniform Securities Act, S. White will have to meet Virginia's higher requirement.


Solutions:

Question # 1
Answer: B
Question # 2
Answer: D
Question # 3
Answer: A
Question # 4
Answer: B
Question # 5
Answer: B

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