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Exam Code:Series63
Exam Name:Uniform Securities Agent State Law Examination
Certification Provider:FINRA
Free Question Number:101
Version:v2023-12-18
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Exam Question List
Question 1: Which of the following would not appear on a trade confirmat...
Question 2: The state of Massachusetts has issued a general obligation (...
Question 3: Which of the following is an example of commingling?...
Question 4: In order to maintain its registration with a state, a broker...
Question 5: Which of the following persons falls under the definition of...
Question 6: Registered agent Ina Scent has had her license suspended by ...
Question 7: As an agent, which of the following statements about the Sec...
Question 8: Which of the following would meet the requirements for an "e...
Question 9: Alter Advisers & Associates is a small investment advise...
Question 10: Which of the following persons would not be required to regi...
Question 11: While on vacation in Colorado, Massachusetts resident Ms. Je...
Question 12: Mr. Noah Scruples is a registered representative with CanDo ...
Question 13: Once a person has filed an application with the Administrato...
Question 14: Which of the following securities would be exempt from state...
Question 15: Alice Wonder called her broker on Tuesday, August 10th, with...
Question 16: Ken Con is an agent with Blue Sky Broker-Dealers. He gets up...
Question 17: n No: 85 Which of the following is not in itself a reason fo...
Question 18: An investment adviser representative with Capital Investment...
Question 19: An arrangement wherein a terminally ill person sells a secon...
Question 20: What criminal penalties are specified for "willful violation...
Question 21: Ari Gaunt is employed by a small state-registered broker-dea...
Question 22: A broker-dealer is required to keep his records for how long...
Question 23: Which of the following does not describe a prohibited practi...
Question 24: No: 93 The net worth of a broker-dealer has fallen below the...
Question 25: Which of the following statements about agents is (are) fals...
Question 26: An investment adviser may not
Question 27: Which of the following entities must sign a "consent to serv...
Question 28: In which of the following scenarios is an investment adviser...
Question 29: If an issuer registers securities with the state, how long c...
Question 30: The Administrator may require a firm to supply it with any p...
Question 31: In which of the following cases is an investment adviser all...
Question 32: An investment adviser suggests that his client, Arnold, a 74...
Question 33: Ms. Connie Fused sent her investment adviser a check, payabl...
Question 34: You had the misfortune of working as a registered agent for ...
Question 35: Skip is a registered agent with state. He recently quit his ...
Question 36: Which of the following entities is subject to be accused of ...
Question 37: Switch Advisory is a small investment adviser partnership re...
Question 38: Which of the following documents must a broker-dealer delive...
Question 39: A client calls CanDo Broker-Dealers with a market-not-held o...
Question 40: The settlement date refers to
Question 41: Mina is a new agent with SecureMoney Broker-Dealers and is s...
Question 42: MoeMoney Investment Advisers uses the services of two broker...
Question 43: Under which of the following scenarios can a client legitima...
Question 44: on No: 9 Rich Writewell wants to begin publishing an indepen...
Question 45: Once a broker-dealer has applied for and been granted state ...
Question 46: Joe Treader is the owner of a small, state-registered invest...
Question 47: A variable annuity is:
Question 48: The Administrator of a state will deny the registration of a...
Question 49: Jack Bean is employed by Giant Investment Advisers, LLC. His...
Question 50: After passing the necessary exams, you must submit which of ...
Question 51: Noah Scruples, an agent with CanDo Broker-Dealers, just got ...
Question 52: Broker-dealer Nebulous opted to withdraw its registration wi...
Question 53: Which of the following are accurate statements regarding the...
Question 54: Rich Quick is a broker-dealer licensed in the state of Massa...
Question 55: Carrie is a registered agent employed by CanDo Broker-Dealer...
Question 56: The C&S Railroad is in the process of issuing new bonds....
Question 57: It has come to the attention of the Administrator of the sta...
Question 58: Newbie Corporation is considering the possibility of an inte...
Question 59: Which of the following would a firm not be expected to provi...
Question 60: In an arrangement between MoeMoney Investment Advisers and o...
Question 61: You are a registered agent with a broker-dealer. One of your...
Question 62: Moe is a registered investment adviser doing business under ...
Question 63: Fly-By-Night Investment Advisers has closed its doors. Which...
Question 64: A bond issue has recently been registered with the state Adm...
Question 65: An investment adviser I. provides investment advice to clien...
Question 66: Which of the following statements regarding an investment ad...
Question 67: Goldie Locks is an agent with Bear Broker-Dealers. One of he...
Question 68: An individual who represents a broker-dealer in the buying a...
Question 69: Erin is a registered agent who works for SecureMoney Brokers...
Question 70: A "notice filing" refers to
Question 71: Which of the following would not fall under the classificati...
Question 72: Which of the following are examples of the prohibited practi...
Question 73: A-2-Z Associates is a full service brokerage and is also in ...
Question 74: You are an investment adviser representative. Your client, M...
Question 75: When a client has purchased securities on margin, the broker...
Question 76: S. White and Associates is an investment adviser registered ...
Question 77: Elizabeth is the owner of Lizbeth Investment Advisers, a sma...
Question 78: Most individual state securities laws today are based on:...
Question 79: You are a registered agent with a large brokerage firm. Your...
Question 80: You are an investment adviser to Mr. Crochety, an elderly ma...
Question 81: MoeMoney Investment Advisers, LLC is registered in the state...
Question 82: You have recently discovered that a security you purchased h...
Question 83: on No: 239 A tombstone advertisement is...
Question 84: When selling shares of an investment company to a client, an...
Question 85: Harry Lange manages the investment portfolio for the Fidelit...
Question 86: The discretionary powers over a clients' accounts differ bet...
Question 87: To say a security is "exempt," means that I. it is exempt fr...
Question 88: "Federal covered securities" were defined and exempted from ...
Question 89: Which of the following does not need to be included in an in...
Question 90: Which of the following may be given to prospective investors...
Question 91: Don is a state-registered agent with GetErDone Broker-Dealer...
Question 92: Assuming the security is not registered under the Uniform Se...
Question 93: When selling shares in a closed-end investment company, an a...
Question 94: A-2-Z Associates advertises itself as a full service brokera...
Question 95: Once you have passed the Series 63 examination, which entity...
Question 96: Vious and Associates is a small broker-dealer trying to gene...
Question 97: Treadwater Bank and Trust is selling a portfolio of municipa...
Question 98: o: 52 Which of the following statements regarding "registrat...
Question 99: Your client calls you with a market order to purchase 500 sh...
Question 100: In accordance with the National Securities Markets Improveme...
Question 101: Trevor is currently a registered agent in the state of Conne...