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FINRA Series63 Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| State Securities Acts and Regulations | - Uniform Securities Act (USA) framework - Registration of securities and exemptions |
| Regulation of Investment Advisers and Agents | - Broker-dealer regulation and supervision - Registration requirements for agents |
| Administrative Provisions and Enforcement | - State enforcement powers and penalties - Recordkeeping and reporting requirements |
| Ethical Practices and Fiduciary Responsibilities | - Disclosure obligations and client protection - Prohibited practices and fraud prevention |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
In which of the following cases is an investment adviser allowed to be compensated with a share of the capital gains of the client's portfolio?
I. The client is a mutual fund.
II. The client is a credit union.
III. The client is a private client whose minimum net worth is $1 million or more.
IV. The client is a private client who has at least $750,000 invested through the investment adviser.
- A. I, II, and III only
- B. I, II, and IV only
- C. I and II only
- D. none of the above. An investment adviser is never allowed to share in the capital gains earned on
Correct Answer: B 🗳️
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A hypothecation agreement refers to
- A. a document signed by a client indicating that he or she understands that some of the charts and examples presented in a broker-dealer's advertising literature are based on hypothetical trades.
- B. an agreement wherein a client gives his broker-dealer discretion to purchase securities that the broker-dealer deems appropriate in whatever quantity the broker-dealer feels appropriate and at a time and price the broker-dealer believes is a good deal.
- C. an agreement signed by a client who is executing a margin transaction that allows the broker to hold the margined securities in street name as collateral for the loan.
- D. an agreement that a client must sign prior to executing any short sales with the broker-dealer.
Correct Answer: C 🗳️
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Joe Romeo is a broker-dealer registered with the state. He has recently hired Betty Buxom as his administrative assistant. As part of her duties, he has given her the responsibility for effecting the purchases and sales of securities for some of his firm's smaller accounts. Ms. Buxom has never applied for nor been granted registration as a broker-dealer or agent. Based on these facts,
- A. the Administrator may elect to revoke or suspend Joe Romeo's registration, and Joe may also face both civil and criminal penalties.
- B. the Administrator is required by the Uniform Securities Act to revoke Joe Romeo's registration and file criminal and civil charges against him.
- C. there is no problem as long as Ms. Buxom registers with the state as an agent within thirty days.
- D. the Administrator is required to turn the case over to the state's district attorney, who will file criminal charges against both Joe Romeo and Betty Buxom.
Correct Answer: A 🗳️
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Ms. Naivete gave Mr. Smooth, owner of Smooth Construction, $40,000 in return for a promissory note that promised to pay interest at the rate of 8% a quarter, with a repayment of principal at the end of two years. The money would be used by Mr. Smooth to rehab a few beach condo units that had been severely hurricane-damaged and that Mr. Smooth had been able to purchase for "pennies on the dollar," or so he said.
The first units would be completed within a month, and the rents would be used to make the interest payments.
The investment was almost as risk-free as U.S. government bonds, Mr. Smooth claimed. By the end of the second year, Ms. Naivete had received a lot of fast talk and only one of the promised interest payments.
Have there been any violation of securities laws in this instance?
- A. Yes. Ms. Naivete has been defrauded by Mr. Smooth.
- B. Both B and C are true statements.
- C. Yes. Mr. Smooth was required to register the promissory note before he offered it for sale.
- D. No. This was simply a loan transacted between two parties.
Correct Answer: B 🗳️
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An arrangement wherein a terminally ill person sells a second party his life insurance policy at a discount from its face value, giving the buyer the right to the policy's face value when the seller dies is called a:
- A. deceased option.
- B. life straddle.
- C. viatical settlement.
- D. death warrant.
Correct Answer: C 🗳️
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