FINRA Series-63 Dumps PDF

May, 2024 Series-63 Practice Questions

Make success possible with our Latest and Unique Uniform Securities State Law Series-63 Practice Exam!


Name: Uniform Securities State Law Examination
Exam Code: Series-63
Certification: Uniform Securities State Law
Vendor: FINRA
Total Questions: 251
Last Updated: May 20, 2024
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FINRA Series-63 Sample Questions

Sample Question 1

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


Sample Question 2

Which of the following statements regarding “registration by qualification” is true? 

A. Registration by qualification refers to the fact that certain categories of securities are exempt from state registration requirements. 
B. Registration by qualification is the preferred method used by issuers since it requires the least amount of paperwork. 
C. In its simplest form, registration by qualification requires the issuer to supply voluminous amounts of information about both the firm and its directors, officers, and major shareholders. 
D. Registration by qualification refers to the fact that the highest quality bonds, i.e., those with a AAA rating, are exempt from registration with the state. 


Sample Question 3

Jack is employed by NewCorp, which is engaging in an initial public offering (IPO). Jack will need to register as a sales representative if he: 

A. engages in transactions with the underwriters of the IPO for the purpose of taking the firm public.
B. represents NewCorp in any transactions with financial institutions. 
C. participates in the selling of the new stock to individual investors.
D. Jack will need to register as a sales representative if he performs any one of the above activities. 


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