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FINRA Series-63 Exam Dumps

FINRA Series-63 Exam Dumps

Uniform Securities State Law Examination

Total Questions : 251
Update Date : March 26, 2024
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Series-63 Exam Dumps


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FINRA Series-63 Sample Questions

Question # 1

The Administrator of a state will deny the registration of a security ifI. the mandated filing fee has not been paid. II. the compensation of the underwriters is excessive. III. the registration statement is incomplete. IV. the issuer is registering the security through the registration by coordination process and has not complied with all the stipulated requirements.      

A. I, II, III, or IV  
B. I or III only  
C. III or IV only  
D. I, III or IV only  



Question # 2

The settlement date refers to

A. the date the order to purchase or sell the security is sent to the market.
B. the date the buyer must pay for the securities purchased.
C. the date the order to purchase or sell a security is actually executed. This may differ from the date that the order is sent to the market in the cases of limit or stop orders.
D. the latest date on which broker-dealers can file their quarterly financial statements with the Administrator of the state.



Question # 3

Which of the following would not be found in a tombstone advertisement?  

A. the price at which the security will be offered  
B. the names of the underwriters  
C. the name of the issuer  
D. the interest rate and time to maturity of a bond issue  



Question # 4

A tombstone advertisement is  

A. an offer to sell a new security.  
B. the announcement of a new security that may become available for purchase.  
C. the only type of advertisement that an investment advisory firm is allowed to use.  
D. an offer to sell a new security that is being issued by an Arizona firm.  



Question # 5

The trade confirmation must be received by the customer no later than

A. one week after the settlement date.
B. the settlement date.
C. the day after the trade takes place.
D. five business days after the settlement date.



Question # 6

Which of the following may be given to prospective investors during the “cooling off period?”  

A. a tombstone advertisement  
B. a final prospectus 
C. a copy of the registration statement  
D. all of the above  



Question # 7

To continue operating as an agent, broker-dealer, investment adviser, or investment adviser representative next year, you must pay the filing fee to renew your license with the state Administrator by 

A. January 15th of the new year.
B. January 30th of the new year. 
C. December 31st of this year. 
D. the anniversary date of the original issue date on your license. 



Question # 8

If an issuer registers securities with the state, how long can the documentation supplied in the registration statement for those securities be incorporated by reference only into a registration statement for future securities the issuer wants to offer for sale? 

A. one year  
B. two years  
C. five years  
D. seven years  



Question # 9

You have passed the necessary exams (congratulations!) and are applying for registration as a securities agent. It is already the end of September. Therefore, you must pay 

A. one-fourth of the annual fee required since only one quarter of the year remains
B. the full annual fee, and your license will expire on September 30th next year
C. the full annual fee, and your license will expire on December 31st next year. 
D. the full annual fee, and your license will expire on December 31st this year. 



Question # 10

Stable Corporation registered a bond issue that it plans to offer for sale in the state with the Administrator. The bond has a par value of $1,000 and will pay interest of 7% a year, with the principal to be repaid in 5 years. The registration became effective on September 8th. The registration is effective  

A. until the maturity date on the bond.  
B. for one full year.  
C. until December 31st of the same year  
D. for two full years.