Free FINRA Series-63 Exam Questions
Absolute Free Series-63 Exam Practice for Comprehensive Preparation
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FINRA Series-63 Exam Questions
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Provided By: FINRA
- Exam: Uniform Securities Agent State Law
- Certification: North American Securities Administrators Association (NASAA)
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Total Questions: 254
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Updated On: Jan 12, 2026
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Rated: 4.9 |
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Online Users: 508
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Question 1
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Which of the following securities would be exempt from state registration requirements, according to the Uniform Securities Act? I. a municipal bond issued by the Canadian province of Nova Scotia II. a bond issued by the county of Cork, Ireland III. a bond issued by Nationwide Insurance Company
Answer: C
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Which of the following securities would be exempt from state registration requirements, according to the Uniform Securities Act? I. a municipal bond issued by the Canadian province of Nova Scotia II. a bond issued by the county of Cork, Ireland III. a bond issued by Nationwide Insurance Company
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Question 2
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Under the NASAA Model Rules, which of the following must an investment adviser provide its clients with at least once a year?
Answer: D
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Question 3
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Don is a state-registered agent with GetErDone Broker-Dealers. He has three other friends who are licensed agents-Huey, Dewey, and Louie. Huey is also an agent with GetErDone Broker-Dealers. Dewey is an agent with a different firm in the same city, CanDo Broker-Dealers. Louie works for a Broker-Dealer with an office just across the state line. Don can enter a commission-splitting agreement with
Answer: A
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Don is a state-registered agent with GetErDone Broker-Dealers. He has three other friends who are licensed agents-Huey, Dewey, and Louie. Huey is also an agent with GetErDone Broker-Dealers. Dewey is an agent with a different firm in the same city, CanDo Broker-Dealers. Louie works for a Broker-Dealer with an office just across the state line. Don can enter a commission-splitting agreement with
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Question 4
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Which of the following trades is illegal?
Answer: D
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Which of the following trades is illegal?
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Question 5
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Mina is a new agent with SecureMoney Broker-Dealers and is struggling to make ends meet. She gets a job as a receptionist at a fitness club on the weekends to generate more income. Which of the following is true?
Answer: A
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