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FINRA Series63 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Regulations of Securities and Issuers | 9% | - Issuer regulation principles - Securities registration and exemptions |
| Regulation of Broker-Dealers | 12% | - Broker-dealer regulatory requirements - Federal and state registration standards |
| Communication with Customers and Prospects | 20% | - Advertising and correspondence rules - Disclosure requirements |
| Regulation of Broker-Dealer Agents | 13% | - Agent registration requirements - Associated person regulations |
| Regulation of Investment Advisers | 5% | - Investment adviser registration rules - Federal vs state adviser regulation |
| Remedies and Administrative Provisions | 9% | - Enforcement and penalties - State Administrator authority |
| 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 |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
Which of the following would not appear on a trade confirmation?
- A. the settlement date
- B. the commission
- C. All of the above items appear on a trade confirmation.
- D. the client's account number
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Which of the following actions is the Administrator of a state empowered to take?
- A. require restitution for the victims of a scam
- B. The Administrator of a state has the authority to take all of the above actions.
- C. impose civil penalties in cases of fraud
- D. gather evidence
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A bond issue has recently been registered with the state Administrator.
Which of the following statements are true?
- A. The bond may now be offered for sale in the state.
- B. An investor can feel secure in buying the bond because it has recently been registered, which means that the state Administrator finds it to be of sound quality at this point in time.
- C. The issuer may now offer this bond for sale, and any other bonds that the issuer may want to offer for sale in the future will be able be sold after the issuer executes a notice filing.
- D. Both A and B are true statements.
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You are an agent with a broker-dealer and have learned of limited partnership interests being sold by a small company that is planning to come out with a product that you think is going to "wow" the market. You would like to get in on the action, but the minimum investment needed is $10,000, and you don't have that kind of dough lying around. You talk to your brother, who is also one of your clients, and get him interested in investing in the firm, too. The two of you decide to pull your money together, each putting in $5,000, and you agree to split any profits or losses.
Is this permitted?
- A. Yes, as long as your brother provides your firm with his written consent.
- B. Yes. This is permitted since the agreement is between you and a family member.
- C. Maybe. But it will require written consent from both your brother and your firm.
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In which of the following scenarios will the investment adviser be subject to criminal fraud charges?
- A. An adviser sells its shares of TweedleDee Corporation after issuing a report recommending the stock as a "buy."
- B. all of the above. It is considered criminal fraud for an investment adviser to make any recommendations on a security in which it has or plans to have a position.
- C. An adviser owns the stock of TweedleDee Corporation and has issued a report recommending the stock as a "buy" without disclosing the fact that it owns the stock.
- D. An adviser owns the stock of TweedleDee Corporation and has issued a report recommending the stock as a "buy," disclosing the fact that it owns the stock
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