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FINRA Series63 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Regulation of Investment Advisers | 5% | - Investment adviser registration rules - Federal vs state adviser regulation |
| Topic 2: Regulation of Broker-Dealers | 12% | - Federal and state registration standards - Broker-dealer regulatory requirements |
| Topic 3: Regulation of Broker-Dealer Agents | 13% | - Associated person regulations - Agent registration requirements |
| Topic 4: Communication with Customers and Prospects | 20% | - Advertising and correspondence rules - Disclosure requirements |
| Topic 5: Regulations of Securities and Issuers | 9% | - Securities registration and exemptions - Issuer regulation principles |
| Topic 6: Regulation of Investment Adviser Representatives | 5% | - Recordkeeping and contract standards - IAR registration and obligations |
| Topic 7: Remedies and Administrative Provisions | 9% | - Enforcement and penalties - State Administrator authority |
| Topic 8: Ethical Practices and Obligations | 25% | - Conflicts of interest and fiduciary duties - Fraudulent and unethical conduct |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
Under the guidelines of the Bank Secrecy Act (BSA), the Treasury Department now requires broker-dealers to obtain and keep certain information relating to clients that make or receive funds transfers that involve
- A. $10,000 or more.
- B. $5,000 or more.
- C. $100,000 or more.
- D. $3,000 or more.
Correct Answer: D π³οΈ
Explanation: Only visible for PassReview members. You can sign-up / login (it's free).
Which of the following persons would not be required to register with the state as an agent under the guidelines of the Uniform Securities Act (USA)?
- A. Stefan is a sales representative for SecureMoney Broker-Dealers and sells only mutual fund shares.
- B. Preetham is part-owner of SecureMoney Broker-Dealers and executes the purchase and sale of securities for the firm's customers.
- C. Keith is a salaried employee of Middlesex County in Massachusetts who sells revenue bonds issued by the county to the public.
- D. John is employed by TrustUs Corporation to sell shares of the firm's stock to the firm's employees and receives a commission on the shares he sells.
Correct Answer: C π³οΈ
Explanation: Only visible for PassReview members. You can sign-up / login (it's free).
The Administrator may not introduce a stop order to deny, revoke, or suspend the effective registration of a security based on facts that were disclosed during the registration process unless he does so within
- A. 60 days.
- B. 45 days.
- C. 30 days.
- D. 1 year.
Correct Answer: C π³οΈ
Explanation: Only visible for PassReview 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. I only
- B. I and II 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. III only
Correct Answer: D π³οΈ
Explanation: Only visible for PassReview members. You can sign-up / login (it's free).
A margin transaction refers to a transaction
- A. Both A and C are true statements.
- B. that is illegal under the guidelines of the Uniform Securities Act.
- C. in which a registered agent makes trades on a customer's account without that customer's knowledge.
- D. in which the client borrows some of the money that he is investing.
Correct Answer: D π³οΈ
Explanation: Only visible for PassReview members. You can sign-up / login (it's free).
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