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FINRA Series63 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Regulations of Securities and Issuers | 9% | - Securities registration and exemptions - Issuer regulation principles |
| Topic 2: Regulation of Investment Advisers | 5% | - Investment adviser registration rules - Federal vs state adviser regulation |
| Topic 3: Regulation of Broker-Dealer Agents | 13% | - Associated person regulations - Agent registration requirements |
| Topic 4: Ethical Practices and Obligations | 25% | - Fraudulent and unethical conduct - Conflicts of interest and fiduciary duties |
| Topic 5: Remedies and Administrative Provisions | 9% | - Enforcement and penalties - State Administrator authority |
| Topic 6: Regulation of Broker-Dealers | 12% | - Federal and state registration standards - Broker-dealer regulatory requirements |
| Topic 7: Communication with Customers and Prospects | 20% | - Disclosure requirements - Advertising and correspondence rules |
| Topic 8: Regulation of Investment Adviser Representatives | 5% | - Recordkeeping and contract standards - IAR registration and obligations |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
Which of the following would not be found in a tombstone advertisement?
- A. the names of the underwriters
- B. the name of the issuer
- C. the interest rate and time to maturity of a bond issue
- D. the price at which the security will be offered
Correct Answer: D π³οΈ
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Finn Nance has recently passed his CFP exam and is now a certified financial planner. He has new business cards printed that have the words "Certified Financial Planner" printed under his picture. In doing so,
- A. Finn has violated a securities law. The Uniform Securities Act prohibits anyone from using the word
"certified" on any advertisement for services. - B. Finn has possibly violated a state securities regulation. The Administrator in many states prohibits the use of the word "certified" on any advertisement for services.
- C. Finn has not violated any laws or engaged in any prohibited practices.
- D. Finn is not in violation of any laws as long as he has notified the state Administrator of his new designation and his new logo.
Correct Answer: C π³οΈ
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In which of the following scenarios is an investment adviser representative required to disclose the fact that someone other than the representative performed the research on which his advice to the client is based?
I. The investment adviser representative recommends the same asset allocation for his client that a buddy of his did after his buddy had done some research for a client with similar characteristics.
II. The investment adviser representative provides a recommendation for his client based on research provided by a broker-dealer that provides the investment adviser with its analysts' recommendations in return for trades that the investment adviser executes using the services of the broker-dealer, as well as a couple of other research sources he finds on the internet.
III. The investment adviser representative submitted his client's information to a data base that provided a recommendation for the asset allocation of the client's investment monies that the adviser deemed was sound and, therefore, recommended it to his client.
- A. III only
- B. I only
- C. I and III only
- D. II only
Correct Answer: C π³οΈ
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Which of the following is not a prohibited practice for a broker-dealer?
- A. requiring that a client who is engaged in margin transactions leave the securities with the broker-dealer in "street name"
- B. waiting 36 hours before mailing a check after receiving a request for a cash withdrawal from a client if the client has that much cash available in his account
- C. recommending a security to a new client without first ascertaining that client's level of risk tolerance
- D. executing a trade for an account holder based on instructions from the account holder's spouse
Correct Answer: A π³οΈ
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To continue operating as an agent, broker-dealer, investment adviser, or investment adviser representative next year, you must pay the filing fee to renew your license with the state Administrator by
- A. December 31st of this year.
- B. the anniversary date of the original issue date on your license.
- C. January 30th of the new year.
- D. January 15th of the new year.
Correct Answer: A π³οΈ
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