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FINRA Series63 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: State Securities Acts and Related Rules & Regulations | 40% | - Definitions and jurisdiction - Registration of securities and exemptions - Regulation of broker-dealers and agents - Regulation of investment advisers and representatives |
| Topic 2: Regulations of Agents and Broker-Dealers | 25% | - Registration requirements and exemptions - Recordkeeping and reporting obligations - Supervision and compliance responsibilities |
| Topic 3: Prohibited Practices and Ethical Obligations | 20% | - Fraudulent and unethical business conduct - Administrative remedies and enforcement - Disclosure and fair dealing |
| Topic 4: Regulations of Investment Advisers and Representatives | 15% | - Fiduciary duties and disclosure requirements - Registration and exclusions - Advertising and recordkeeping rules |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
Which of the following describes an investment adviser that is not required to register with the state Administrator?
- A. Buckeye Investment Advisers has no offices in the state, but it provides portfolio management services to an insurance company located in the state.
- B. Financial Freedom Investment Advisers has no offices in the state although it does advise six wealthy individuals who are residents of the state.
- C. CanDo Broker-Dealers is a state-registered broker-dealer. It has begun to offer asset management services to a few of its wealthier clients for a small management fee equal to 0.1% of the assets under management.
- D. MoeMoney Investment Advisers, LLC has an office in the state with a client base of fifty individuals.
Correct Answer: A 🗳️
Explanation: Only visible for PracticeVCE members. You can sign-up / login (it's free).
Cassie Clueless has recommended that a client purchase shares of a mutual fund prior to its ex-dividend date, so that the client will receive the dividends when they are distributed.
In which of the following situations might this recommendation be justifiable and not in violation of NASAA rules?
I. The investor has refused to provide Cassie any information regarding his investment goals.
II. The investor is a young professional with an investment goal of long-term capital appreciation.
III. The investor is a retiree in a low tax bracket and needs current income to augment her social security check.
- A. III only
- B. I only
- C. It is always in violation of NASAA rules to recommend that a client purchase shares of a mutual fund prior to its ex-dividend date.
- D. I and II only
Correct Answer: A 🗳️
Explanation: Only visible for PracticeVCE members. You can sign-up / login (it's free).
When a customer files a complaint with a broker-dealer,
I. the broker-dealer must submit the complaint to the firm's compliance department.
II. the broker-dealer must provide a prompt written response to the complainant.
III. the broker-dealer must temporarily suspend the activities of any agent named in the complaint.
- A. I and III only
- B. I, II and III
- C. I and II only
- D. II and III only
Correct Answer: C 🗳️
Explanation: Only visible for PracticeVCE members. You can sign-up / login (it's free).
The Administrator of a state will deny the registration of a security if
I. the mandated filing fee has not been paid.
II. the compensation of the underwriters is excessive.
III. the registration statement is incomplete.
IV. the issuer is registering the security through the registration by coordination process and has not complied with all the stipulated requirements.
- A. I, III or IV only
- B. III or IV only
- C. I or III only
- D. I, II, III, or IV
Correct Answer: D 🗳️
Explanation: Only visible for PracticeVCE members. You can sign-up / login (it's free).
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?
- A. Because the job as a receptionist at a fitness club has nothing to do with the world of finance, Mina has done nothing inappropriate.
- B. Mina should have notified SecureMoney in writing before signing on to work at the fitness club.
- C. Mina needs to send notice to the state Administrator informing him of her extracurricular activity.
- D. Mina simply needs to tell her immediate supervisor at SecureMoney about her new job.
Correct Answer: B 🗳️
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