FINRA Series63

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FINRA Uniform Securities Agent State Law Examination Sample Questions:

1. You are employed as an agent with CanDo Broker-Dealers. Your brother is software engineer with VideoMagic. When you were talking to him on the phone the other day, he told you that he overheard a conversation by some of the firm's executives that indicated that VideoMagic was about to take over another software company.
Which of the following would violate insider trading rules?
I. The next day, you get an unsolicited call from a client requesting that you sell his shares in Video Magic, and you execute the trade.
II. You buy stock in Video Magic's target firm in anticipation that its stock price will rise when the information becomes public.
III. You recommend the stock of Video Magic's target firm to investors based on the fact that, on average, the stock price of target firms increases.

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

2. When a customer files a complaint with a broker-dealer,
I. the broker-dealer must submit the complaint to the firm's compliance department.
II. the broker-dealer must provide a prompt written response to the complainant.
III. the broker-dealer must temporarily suspend the activities of any agent named in the complaint.

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

3. The C&S Railroad is in the process of issuing new bonds. Before these bonds can be offered for sale,

A) they must be registered with the SEC since railroads are involved in interstate commerce.
B) they must be registered with the SEC and in each state through which the railroad passes.
C) None of the above statements is true.
D) they must be registered in every state in which the bonds will be sold to investors.

4. A client calls CanDo Broker-Dealers with a market-not-held order to buy 5,000 shares of China Security and Surveillance Technology, Inc. (CSR), which sells on the NYSE, "at a good price today." The stock had opened at $5.13, traded as high as $5.36 during the day, and closed at $5.10. CanDo executed the purchase at a price of $5.31, so at market close, the client had lost $1,050. The client can

A) refuse to pay for the stock on the settlement date.
B) sue CanDo for not getting him the best price of the day-or anything close to it.
C) do nothing about it.
D) refuse to pay CanDo commissions for the purchase.

5. Which of the following scenarios would not be considered a "sale," as defined by the Uniform Securities Act (USA)?
I. Yoshito owned shares of Minnow Corporation and received shares of Whale Corporation from Whale when it merged with Minnow.
II. Olivia's uncle, an agent with SecureMoney Brokers, sold Olivia ten call options on the stock of Microsoft.
III. Hans purchased a bond of Indebted Corporation that had detachable warrants and subsequently sold the warrants.
IV. Tom pledged some shares of stock he owned personally to secure a business loan for his company.

A) Neither I nor II would be considered sales.
B) Neither I nor IV would be considered sales.
C) Neither III nor IV would be considered sales.
D) Neither II nor III would be considered sales.

Solutions: