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FINRA-SERIES-63 Exam Questions & Answers

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FINRA-SERIES-63 Exam Questions & Answers

Vendor: FINRA

Certifications: FINRA Certifications

Exam Code: FINRA-SERIES-63

Exam Name: FINRA Uniform Securities Agent State Law

Updated: May 29, 2026

Q&As: 251

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FINRA-SERIES-63 Online Practice Questions and Answers

Questions 1

While on vacation in Colorado, Mr. Moneybags became interested in the stock of a company called SafeAway, which designs and installs customized high-tech security systems in the multimillion dollar mansions located in Colorado's pricier ski resort areas, such as Vail and Aspen. Upon returning to his home in Boston, he calls his broker-dealer with an order to purchase 10,000 shares of the stock, which he learned trades in the over- the-counter market. Fast Eddie, a registered agent with his broker-dealer, discovers that SafeAway's stock is registered only in the states of Colorado and Wyoming. Neither Fast Eddie nor his broker-dealer are registered to do business in either of those states. Under these circumstances,

A. Fast Eddie cannot effect Mr. Moneybags purchase of SafeAway stock since neither he nor his broker are registered to do business in Colorado or Wyoming, and SafeAway stock is not registered for sale in the state of Massachusetts.

B. Fast Eddie can execute the trade for Mr. Moneybags since this would be considered an exempt transaction because it is a private placement.

C. Fast Eddie should contact a broker-dealer that is registered in either Colorado or Wyoming and negotiate a finder's fee for referring Mr. Moneybags to them.

D. Fast Eddie can execute the trade for Mr. Moneybags since this would be considered an exempt transaction because it is an unsolicited transaction.

Show Answer
Questions 2

It has come to the attention of the Administrator of the state that Samuel Shyster provided false information on his application to become a registered investment adviser with the state. Prior to revoking Samuel's license, the Administrator will provide Samuel with which of the following?

I. prior notice

II. an opportunity to fill out a new registration statement

III. an opportunity for a hearing

IV.

a written statement regarding the facts and the legal consequences

A.

I, II, III, and IV

B.

I, II, and III

C.

I, III, and IV

D.

I, II, and IV

Show Answer
Questions 3

You are a registered agent with a large brokerage firm. Your client is a very busy woman. She is interested in purchasing 500 shares of Google, but she thinks this morning's opening price is too high. She's going to be in meetings and then on a transatlantic flight. She wants the purchase to take place today because she believes Google's price is just going to keep rising with only the occasional daily ups and downs. She wants you to use your discretion and try to get her the best price for the stock in today's trading session.

Which of the following statements are true?

A. You have to tell her that you can't do this without a signed discretionary authorization from her, and there's none on file.

B. You tell her that you can do this for her, but only if you execute it as a margin transaction.

C. You tell her you can enter it for her as a "market not held" order.

D. You tell her to have her secretary type up a discretionary authorization for her to sign and drop in the mail before she boards the plane. As long as the written authorization is in the mail, you can place the order.

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