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FINRA Series_63 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Regulations of Investment Adviser Representatives | 5% | - Registration and post-registration duties - Exclusions and exemptions - Definition and activities requiring registration |
| Ethical Practices and Fiduciary Obligations | 40% | - Advertising and communication rules - Conflicts of interest and compensation - Prohibited business practices - Anti-fraud provisions and misrepresentation - Handling of customer funds and securities - Customer suitability and disclosure |
| Regulations of Securities and Issuers | 10% | - Exempt securities and exempt transactions - Registration methods: coordination, qualification, filing - Disclosure and anti-fraud requirements - Definition of securities |
| Regulations of Investment Advisers | 5% | - Recordkeeping and reporting rules - Definition under Uniform Securities Act - Registration and exemptions |
| Administrative Provisions and Remedies | 15% | - Powers of state securities administrators - Investigations, subpoenas, and orders - Civil and criminal liabilities - Judicial review and appeals |
| Regulations of Agents of Broker-Dealers | 13% | - Termination and notice requirements - Definition and scope of activities - Registration procedures and Form U4 - Exemptions from registration |
| Regulations of Broker-Dealers | 12% | - Definition and legal status - Registration and post-registration requirements - Exclusions and exemptions from registration - Supervision and compliance obligations |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
Mr. Noah Scruples is a registered representative with CanDo Broker-Dealers. A client calls and wants
Noah to purchase shares of a mutual fund the client has read about. CanDo is not authorized by this
particular fund to effect purchases or sales of the fund shares. Can Noah execute the order anyway?
- A. No. This is a prohibited practice known as selling away.
- B. Yes. Since this is an unsolicited trade, Noah can execute the transaction on behalf of his client.
- C. No. This is a prohibited practice known as front running.
- D. No. This would be considered money laundering, which is highly illegal.
Correct Answer: A 🗳️
Explanation: Only visible for PassSureExam members. You can sign-up / login (it's free).
Which of the following would be considered an "issuer" transaction?
- A. Kim sells an AT&T bond she holds that still has three years remaining to maturity.
- B. Maria purchases 500 shares of Dodge and Cox's International Fund, a mutual fund investing in foreign
securities. - C. Jacob calls his broker and places an order to purchase 100 shares of Hasbro, Inc. on the open market.
- D. None of the above is an "issuer" transaction.
Correct Answer: B 🗳️
Explanation: Only visible for PassSureExam members. You can sign-up / login (it's free).
The trade confirmation must be received by the customer no later than
- A. the settlement date.
- B. one week after the settlement date.
- C. the day after the trade takes place.
- D. five business days after the settlement date.
Correct Answer: A 🗳️
Explanation: Only visible for PassSureExam members. You can sign-up / login (it's free).
If an issuer registers securities with the state, how long can the documentation supplied in the registration
statement for those securities be incorporated by reference only into a registration statement for future
securities the issuer wants to offer for sale?
- A. one year
- B. two years
- C. five years
- D. seven years
Correct Answer: C 🗳️
Explanation: Only visible for PassSureExam members. You can sign-up / login (it's free).
In which of the following cases is an investment adviser allowed to be compensated with a share of the
capital gains of the client's portfolio?
I. The client is a mutual fund.
II. The client is a credit union.
III. The client is a private client whose minimum net worth is $1 million or more.
IV. The client is a private client who has at least $750,000 invested through the investment adviser.
- A. I, II, and IV only
- B. none of the above. An investment adviser is never allowed to share in the capital gains earned on
- C. I, II, and III only
- D. I and II only
Correct Answer: A 🗳️
Explanation: Only visible for PassSureExam members. You can sign-up / login (it's free).
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