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FINRA Series63 Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| State Securities Acts and Regulations | - Registration of securities and exemptions - Uniform Securities Act (USA) framework |
| Regulation of Investment Advisers and Agents | - Broker-dealer regulation and supervision - Registration requirements for agents |
| Administrative Provisions and Enforcement | - Recordkeeping and reporting requirements - State enforcement powers and penalties |
| Ethical Practices and Fiduciary Responsibilities | - Disclosure obligations and client protection - Prohibited practices and fraud prevention |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
Shady Corporation's executives are concerned over the firm's steadily declining stock price and decide to do something about it. They each decide to make significantly large purchases of their firm's stock in order to stabilize and hopefully even to drive up its price, reasoning that they can sell the stock for the higher price down the road and profit from the transaction. You are a broker-dealer for the firm's executives.
Are Shady's executives planning to do anything illegal?
- A. No. As long as they follow the rules and report their purchases to the SEC, it is not illegal for them to purchase shares of their firm's stock.
- B. Yes. Although it is not illegal for them to purchase shares of their firm's stock, they cannot do so in order to try to manipulate the price of the stock.
- C. No. It's a win-win. They are using their own money to buy stock of their firm, and this can help drive the stock price up and put profits in their pockets.
- D. Yes. To purchase shares of their own company is considered to be illegal insider trading.
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Which of the following documents must a broker-dealer deliver on or prior to the confirmation due date to a client who is purchasing a security?
- A. a hypothecation agreement
- B. a margin agreement if the purchase is being made on margin
- C. a preliminary prospectus
- D. a final prospectus
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A "notice filing" refers to
- A. a document that the issuer must file with the SEC informing the SEC that the firm has applied to the state for registration of its new security.
- B. notification to the public by the issuer or its underwriters that the issue is being sold on an "all or nothing" basis.
- C. the right of an issuer to run tombstone ads in the newspapers and other publications upon filing a registration application with the state Administrator.
- D. the filing by a federal covered investment adviser of forms already filed with the SEC along with a consent to service of process with the state Administrator.
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A-2-Z Associates is a full service brokerage and is also in the investment advisory industry, charging its clients for investment advice for additional remuneration.
Which of the following statements is true?
- A. A-2-Z can charge the client both an advisory fee for its advice and a commission for the execution of a trade based on that advice, but it must inform the client of its potential conflict of interest in doing so and get the client's written consent.
- B. A-2-Z can charge the client both an advisory fee for its advice and a commission on any trade the client makes based on the advice. This is all laid out in the advertising brochures full service brokerage firms like A-2-Z provide their prospective clients.
- C. A-2-Z can charge the client only an advisory fee when it is serving as an investment adviser; no commissions may be collected.
- D. A-2-Z can charge an individual client an advisory fee for its advice or a commission when it executes a trade that the client makes based on that advice, but not both.
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Harry Lange manages the investment portfolio for the Fidelity Magellan Mutual Fund. Mr. Lange is a(n)
- A. investment adviser.
- B. agent.
- C. investment company.
- D. broker-dealer.
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