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Finra Series-63 Exam Dumps

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Series-63 Pack
Vendor: Finra
Exam Code: Series-63
Exam Name: Uniform Securities State Law Examination
Exam Questions: 251
Last Updated: January 9, 2026
Related Certifications: Uniform Securities State Law
Exam Tags: Foundational level Compliance OfficersInvestment Consultants
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Free Finra Series-63 Exam Actual Questions

Question No. 1

Stable Corporation registered a bond issue that it plans to offer for sale in the state with the Administrator.

The bond has a par value of $1,000 and will pay interest of 7% a year, with the principal to be repaid in 5 years. The registration became effective on September 8th. The registration is effective

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Correct Answer: B

The bond's registration is effective for one full year from the effective date of the registration.


Question No. 2

According to the NASAA Model Rules, which of the following institutions would not be considered a qualified custodian?

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Correct Answer: B

According to the NASAA Model Rules, a bank that is insured by a private, state-licensed insurance company would not be considered a qualified custodian. Registered broker-dealers, foreign financial institutions, and banks and savings institutions that are insured by the FDIC are on the list of qualified custodians.


Question No. 3

Which of the following trades is illegal?

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Correct Answer: D

It is illegal to sell a mutual fund if the purchaser hasn't received a prospectus. The purchaser must receive this no later than the date on which the trade confirmation is due. Short sales, margin transactions, and market-not-held orders are all legitimate.


Question No. 4

Erin is a registered agent who works for SecureMoney Brokers-dealers. One of her clients, Mrs. McTurk, is a recently-widowed woman who relies on Erin for advice about her investment portfolio. Mrs. McTurk reminds Erin of her own grandmother, and she is happy to provide guidance within the sphere of her own knowledge.

Based on these facts, which of the following statements is true?

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Correct Answer: D

Neither SecureMoney Broker-dealers nor Erin must register as an investment adviser based on the facts provided since neither the broker-dealer nor Erin is receiving any compensation for the advice Erin is giving Mrs. McTurk. In this instance, the advice provided is considered incidental to the broker-dealer business.


Question No. 5

In accordance with the Telephone Consumer Protection Act of 1991 (TCPA), if a prospective client requests to be put on your firm's Do-Not-Call (DNC) list, the client must be kept on that list for

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Correct Answer: D

If a prospective client requests being put on your firm's DNC list, you must keep that name on your list for 10 years, according to the TCPA.


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