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Question No. 1
The Uniform Securities Act (USA) is
A. a body of laws governing the purchase and sale of securities within a single state.
B. a set of guidelines for individual states to follow when formulating their own securities'
laws.
C. a group of laws requiring state-issued securities, such as municipal bonds, to be registered
with.
D. federal legislation that requires all states to adopt the same registration requirements for
all.
Answer: B
Question No. 2
Once you have passed the Series 63 examination, which entity must then approve your application to
sell securities?
A. FINRA
B. NASAA
C. SEC
D. the state administrator
Answer: D
Question No. 3
Which of the following securities would not necessarily be exempt from state registration?
A. a stock listed on the Tokyo Stock Exchange
B. a bond guaranteed by the Canadian government
C. a bond issued by another state's employees' credit union
D. a stock listed as a NASDAQ National Market Issue.
Answer: A
Question No. 4
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
Answer: A
Question No. 5
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.
Answer: C
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