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FINRA Series63 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Communication with Customers and Prospects | 20% | - Advertising and correspondence rules - Disclosure requirements |
| Regulation of Broker-Dealer Agents | 13% | - Associated person regulations - Agent registration requirements |
| Ethical Practices and Obligations | 25% | - Conflicts of interest and fiduciary duties - Fraudulent and unethical conduct |
| Regulation of Investment Adviser Representatives | 5% | - IAR registration and obligations - Recordkeeping and contract standards |
| Remedies and Administrative Provisions | 9% | - State Administrator authority - Enforcement and penalties |
| Regulation of Investment Advisers | 5% | - Investment adviser registration rules - Federal vs state adviser regulation |
| Regulation of Broker-Dealers | 12% | - Broker-dealer regulatory requirements - Federal and state registration standards |
| Regulations of Securities and Issuers | 9% | - Securities registration and exemptions - Issuer regulation principles |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
AllTime Investment Advisers advertises that its phones are manned 24/7, so that a client "doesn't have to lie awake all night worrying about a financial problem." In fact, AllTime does have a answering service that answers calls in the evenings and on the weekends when its offices are closed. The service informs the caller of the firm's business hours, which will be the earliest opportunity the caller will have to talk to an investment adviser representative.
Is this a violation of any securities laws?
- A. No. It's not a violation of any securities laws, but the firm probably won't retain many clients this way.
- B. Yes. The Uniform Securities Act prohibits investment advisers from making deceptive statements in the solicitation of clients as well as in advising clients.
- C. It depends. If, before a client signs a contract with the firm, it is made clear that investment adviser representatives are not, in fact, available to him 24/7, then AllTime is in the clear.
- D. No. The firm's phones are manned 24/7, so it hasn't lied.
Correct Answer: B 🗳️
Explanation: Only visible for Exam4Free members. You can sign-up / login (it's free).
Which of the following statements about agents is (are) false?
- A. An agent must demonstrate a specific minimum level of financial stability for his registration application to be accepted.
- B. When an agent has a change of address, both he and his broker-dealer affiliate must inform the Administrator.
- C. All of the above are false statements.
- D. If an agent files for bankruptcy, the Administrator may elect to terminate that agent's registration if the Administrator believes it is "in the public interest" to do so.
Correct Answer: A 🗳️
Explanation: Only visible for Exam4Free members. You can sign-up / login (it's free).
Which of the following statements would not be in violation of NASAA rules regarding the sale of investment company shares?
I. "Investing your money in shares of this money market mutual fund is identical to putting your money in a savings account at a bank, except the money market fund provides a higher return." II. "Our U.S. government bond fund is invested only in government bonds issued by the U.S. government and is, therefore, a risk-free investment." III. "You are investing $22,000 in this fund today. The fund has a 5% load at this investment level, but if you sign a letter of intent to invest another $3,000 within the next 13 months, your load will be reduced to 4%. If something comes up and you can't invest the extra $3,000 within 13 months, you will only need to pay the difference in the two loads."
- A. I and II only
- B. I only
- C. I, II, and III
- D. III only
Correct Answer: D 🗳️
Explanation: Only visible for Exam4Free members. You can sign-up / login (it's free).
You have recently discovered that a security you purchased has not been registered with the state, nor is it exempt from registration. You can file a civil claim against the seller as long as you do so within
- A. three years from discovery or five years from the event, whichever comes first.
- B. two years from discovery or three years from the event, whichever comes first.
- C. five years.
- D. one year from discovery.
Correct Answer: B 🗳️
Explanation: Only visible for Exam4Free members. You can sign-up / login (it's free).
Broker-dealer Nebulous opted to withdraw its registration with the state. Six months later, the Administrator finds that Nebulous had been engaged in fraudulent securities transactions.
Which of the following statements is true?
- A. The Administrator has five years from the discovery of the misdeed to take disciplinary action, so Nebulous will have to be on the lookout for a long time to come.
- B. The Administrator can take disciplinary action against Nebulous for up to one year, so Nebulous is in trouble.
- C. The Administrator is only able to take disciplinary action if the misdeeds are discovered within three months of the effective date of the withdrawal, so Nebulous slipped by this time.
- D. The Administrator is unable to take disciplinary action against Nebulous because the self-initiated withdrawal became effective 30 days after the application was filed.
Correct Answer: B 🗳️
Explanation: Only visible for Exam4Free members. You can sign-up / login (it's free).
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