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FINRA Series63 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Regulation of Broker-Dealer Agents | 13% | - Associated person regulations - Agent registration requirements |
| Topic 2: Regulation of Investment Advisers | 5% | - Investment adviser registration rules - Federal vs state adviser regulation |
| Topic 3: Regulations of Securities and Issuers | 9% | - Securities registration and exemptions - Issuer regulation principles |
| Topic 4: Communication with Customers and Prospects | 20% | - Advertising and correspondence rules - Disclosure requirements |
| Topic 5: Ethical Practices and Obligations | 25% | - Conflicts of interest and fiduciary duties - Fraudulent and unethical conduct |
| Topic 6: Remedies and Administrative Provisions | 9% | - Enforcement and penalties - State Administrator authority |
| Topic 7: Regulation of Broker-Dealers | 12% | - Federal and state registration standards - Broker-dealer regulatory requirements |
| 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:
Question 1
Although an Administrator has broad powers, he or she cannot:
A. deliver a judicial injunction.
B. issue subpoenas involving compulsory attendance.
C. gather evidence.
D. formulate rules and orders.
Question 2
Penny Swyne, an agent employed by Bear Broker-Dealers, has received a written complaint via e-mail from Mr. Wolf regarding her performance as his agent.
What are Ms. Swyne's legitimate options?
A. As illegal as it may sound, since the complaint was via e-mail, Ms. Swyne can hit the delete button and make it all go away.
B. Ms. Swyne can call Mr. Wolf and offer to meet him for a romantic dinner and try to convince him to revoke the complaint.
C. Ms. Swyne must forward the complaint to the state Administrator.
D. Ms. Swyne must provide Bear Broker-Dealers with a copy of the complaint.
Question 3
In which of the following instances is it permissible for an investment adviser to borrow money from a client?
A. It is never permissible for an investment adviser to borrow money from a client.
B. The investment adviser may borrow money from a client if the client is a close friend of the majority owner of the investment advisory firm.
C. The investment adviser may borrow money from a client if the client is a bank.
D. The investment adviser may borrow money in either of the scenarios described in B or C.
Question 4
An investment adviser may not
A. take a position-either long or short-in securities in which any of its clients have a position.
B. accept any kind of soft dollar compensation for using certain broker-dealers to execute trades on their clients' accounts.
C. recommend a stock to a client that the adviser itself holds without disclosing to the client that the adviser owns the stock.
D. also be registered as a broker-dealer in the state.
Question 5
For how long after the effective date is a security's registration valid?
A. one year
B. six months
C. three months
D. two years
Solutions:
| Question 1 Answer: A | Question 2 Answer: D | Question 3 Answer: C | Question 4 Answer: C | Question 5 Answer: A |
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