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Score Higher on Verified Series-63 | Uniform Securities State Law Examination Exam Questions with Answers

Are you ready to take the Uniform Securities State Law Examination? To learn Series-63 exam questions, smart security solutions, and move IT forward, you need the FINRA Series-63 Certification. Whether you're making security rules for the whole company or working on hard problems, FINRA makes sure you're ready for anything. Crack4sure offers study materials and practice problems covering the exam syllabus for FINRA Courses, including Uniform Securities State Law Examination. Check for daily deals to get products that can help you pass.

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  • Exam Name: Uniform Securities State Law Examination
  • Last Update: 15-Dec-2025
  • Questions and Answers: 251
  • Single Choice: 251 Q&A's

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Series-63 Questions and Answers

Question # 1

Jeremy Sly considered himself somewhat of an inventor. The only problem was that his day job interfered with his opportunity to exercise his creativity. He came up with a plan to get outside investors to support his inventive activities. To this end, he produced and distributed a brochure advertising partnership interests with a guaranteed return on investment of at least 15% after the first 12 months, based on what he had allegedly generated from his other (non-existent) inventions.

Given these facts, is Jeremy guilty of any security violations under the Uniform Securities Act (USA)?

A.

No. The facts don’t indicate whether any partnership interests were actually sold, and there can be no violation unless there is a sale.

B.

No. An interest in a partnership is not considered a security.

C.

No. It is not against the law to believe in oneself and promote one’s ideas.

D.

Yes. Even an “offer” to sell securities must not contain any untruths.

Question # 2

Which of the following scenarios describes activities that are disallowed under the NASAA Model Rules?

I. Broker-dealer Anon observes that a client placed a stop loss order to sell her 1,500 shares of Amazon.com stock for $131 when the stock was selling for $134. Anon sold the stock for $133 when it started to fall during the day and credited the client’s account with $131 per share when stock dropped further to $129 a share.

II. Penny is an agent with Broker-dealer Anon. She recently recommended that a client buy a stock that Penny thought would do well. As it turned out, Penny was wrong, and she offers to refund the commission that the client paid her.

III. Broker-dealer Anon is part of the selling group of a hot new IPO. As such, the firm purchases 50% of the shares for its own portfolio and sells the remainder to the public.

A.

I only

B.

I and II only

C.

I and III only

D.

I, II, and III

Question # 3

Which of the following would not fall under the classification of “institutional investor”?

A.

Prudential Insurance

B.

Chase Bank

C.

Neuring Investment Advisers

D.

Franklin Templeton Mutual Funds

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