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FINRA Series_63 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Regulation of Investment Advisers and Representatives | - Investment Adviser registration
| |
| Ethical Practices and Fiduciary Obligations | 40% | - Ethics in securities business
|
| Regulation of Broker-Dealers and Agents | - Broker-Dealer definitions and requirements
| |
| State Securities Acts and Related Rules | 60% | - Uniform Securities Act principles
|
FINRA Uniform Securities Agent State Law Examination Sample Questions:
A bond issue has recently been registered with the state Administrator. Which of the following statements
are true?
- A. The bond may now be offered for sale in the state.
- B. The issuer may now offer this bond for sale, and any other bonds that the issuer may want to offer for
sale in the future will be able be sold after the issuer executes a notice filing. - C. An investor can feel secure in buying the bond because it has recently been registered, which means
that the state Administrator finds it to be of sound quality at this point in time. - D. Both A and B are true statements.
Correct Answer: A 🗳️
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Which of the following trades is illegal?
- A. a margin transaction
- B. a short sale
- C. a market-not-held order
- D. the sale of a mutual fund if the purchaser hasn't received a prospectus
Correct Answer: D 🗳️
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The maximum monetary civil liability that a person who has violated a securities law can be expected to
pay is
- A. the original investment + a state-deemed appropriate interest rate + court costs and reasonable
attorneys' fees + any state-determined "pain and suffering" award - any income the victim has received on
the investment. - B. the original investment + a state-deemed appropriate interest rate + court costs and reasonable
attorneys' fees - any income the victim has received on the investment. - C. the original investment + a state-deemed appropriate interest rate + court costs and reasonable
attorneys' fees + any state-determined "pain and suffering" award. - D. the original investment + a state-deemed appropriate interest rate + court costs and reasonable
attorneys' fees + any income the victim has received on the investment.
Correct Answer: B 🗳️
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Which of the following would not appear on a trade confirmation?
- A. the settlement date
- B. the commission
- C. All of the above items appear on a trade confirmation.
- D. the client's account number
Correct Answer: C 🗳️
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An investment adviser may act as a custodian for a client's securities if
I. the Administrator of the state doesn't have a rule prohibiting custodial arrangements.
II. he informs the state Administrator in writing that he will be acting as a custodian for the client.
III. he arranges to pay an independent certified public accountant to perform an unannounced audit of his
books each year so that the accountant can report his findings to the state Administrator.
- A. I, II and III
- B. I and II only
- C. I only
- D. I and III only
Correct Answer: A 🗳️
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Leopold -
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