FINRA Uniform Securities State Law Series63 Braindumps

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FINRA Series63 Exam Syllabus Topics:

FINRA Uniform Securities Agent State Law Examination Sample Questions:

Question #1
You are a newly licensed agent and are making cold calls to generate business. According to the Telephone Consumer Protection Act of 1991 (TCPA), you may only place your calls between the hours of

A. 8 a.m. and 9 p.m., based on your time zone.
B. 8 a.m. and 7 p.m., based on your prospective customer's time zone.
C. 8 a.m. and 7 p.m., based on the Pacific Time Zone.
D. 8 a.m. and 9 p.m., based on your prospective customer's time zone.

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

Question #3
After passing the necessary exams, you must submit which of the following to the state Administrator when applying for registration as an agent?

A. U-4
B. a recent photograph of yourself
C. Form ADV
D. proof that you meet the state's minimum net capital requirement

Question #4
Under the NASAA Model Rules, the statute of limitations for civil liabilities is

A. the earlier of two years after the discovery of facts and three years after the sale.
B. three years after the discovery of the facts and four years after the violation, whichever is greater.
C. the earlier of three years after the discovery of facts and five years after the violation.
D. the earlier of two years after the discovery of the facts and four years after the violation.

Question #5
Moe is a registered investment adviser doing business under the name of MoeMoney Investment Advisers, LLC. Larry, Curly, and Mary all hold positions with the firm. Larry is on the board of directors; Mary is a sales representative for the firm; and Curly is an administrative assistant, who performs clerical duties.
Given that Moe is already a registered investment adviser, which of the other three are automatically registered as investment adviser representatives?

A. Larry, Mary and Curly
B. Larry and Mary only
C. Larry only
D. Mary and Curly only

Solutions: