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FINRA Series63 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Regulation of Broker-Dealers | 12% | - Federal and state registration standards - Broker-dealer regulatory requirements |
| Topic 2: Regulation of Investment Advisers | 5% | - Federal vs state adviser regulation - Investment adviser registration rules |
| Topic 3: Regulation of Investment Adviser Representatives | 5% | - IAR registration and obligations - Recordkeeping and contract standards |
| Topic 4: Regulations of Securities and Issuers | 9% | - Securities registration and exemptions - Issuer regulation principles |
| Topic 5: Remedies and Administrative Provisions | 9% | - Enforcement and penalties - State Administrator authority |
| Topic 6: Ethical Practices and Obligations | 25% | - Fraudulent and unethical conduct - Conflicts of interest and fiduciary duties |
| Topic 7: Communication with Customers and Prospects | 20% | - Advertising and correspondence rules - Disclosure requirements |
| Topic 8: Regulation of Broker-Dealer Agents | 13% | - Agent registration requirements - Associated person regulations |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
If a person has had its license revoked by the Administrator of the state and has appealed the decision to a court of law, that person
- A. must notify the Administrator of the state that it has appealed the decision.
- B. is considered to have a revoked license until the courts rule otherwise.
- C. can continue business as usual pending the resolution of the appeal.
- D. Both B and C are true statements.
Correct Answer: D 🗳️
Explanation: Only visible for TestkingPDF members. You can sign-up / login (it's free).
Which of the following orders can an Administrator issue without providing prior notice?
- A. license suspension
- B. cease and desist
- C. license revocation
- D. license denial
Correct Answer: B 🗳️
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Which of the following entities is subject to be accused of churning?
I. investment advisers
II. investment adviser representatives
III. broker-dealers
IV. agents
- A. II, III, and IV only
- B. II and IV only
- C. I and III only
- D. I, II, III, and IV
Correct Answer: D 🗳️
Explanation: Only visible for TestkingPDF members. You can sign-up / login (it's free).
In accordance with the National Securities Markets Improvement Act of 1996, which of the following is a federal covered adviser and, therefore, exempt from registering with the state Administrator?
I. An adviser who does business in 26 states.
II. An adviser who manages the portfolio of a mutual fund that is registered with the SEC.
III. An adviser with $35 million in assets under management
- A. II and III only
- B. I and II only
- C. All of the selections meet the qualifications of a federal covered adviser.
- D. I and III only
Correct Answer: A 🗳️
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Which of the following would not be a prohibited activity for a broker-dealer?
I. A broker-dealer tells a client that a municipal revenue bond offered by the city of Boston, Massachusetts is almost risk-free because it is backed by the taxes paid to the city, and the city generates a lot of tax dollars.
II. A broker-dealer sells a client some bonds that the broker-dealer has in its portfolio, after informing the client that it is acting as a seller in the transaction.
III. A broker-dealer purchases some stock that a client is selling for its own portfolio, after informing the client that it is acting as a buyer in the transaction.
IV. A broker-dealer purchases 1,000 shares of Southwest Airlines for a client who calls and asks the broker-dealer to buy some shares of a domestic airline stock at a good price for him and receives written discretionary authority from the client two days later, prior to the settlement date.
- A. II and III only
- B. I only
- C. II, III and IV only
- D. I and IV only
Correct Answer: A 🗳️
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