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FINRA Series63 Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Topic 1: Regulation of Investment Advisers and Agents | - Broker-dealer regulation and supervision - Registration requirements for agents |
| Topic 2: State Securities Acts and Regulations | - Uniform Securities Act (USA) framework - Registration of securities and exemptions |
| Topic 3: Administrative Provisions and Enforcement | - State enforcement powers and penalties - Recordkeeping and reporting requirements |
| Topic 4: Ethical Practices and Fiduciary Responsibilities | - Prohibited practices and fraud prevention - Disclosure obligations and client protection |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
Stable Corporation registered a bond issue that it plans to offer for sale in the state with the Administrator.
The bond has a par value of $1,000 and will pay interest of 7% a year, with the principal to be repaid in 5 years. The registration became effective on September 8th. The registration is effective
- A. until the maturity date on the bond.
- B. for one full year.
- C. for two full years.
- D. until December 31st of the same year
Correct Answer: B 🗳️
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Under the 2002 Uniform Securities Act, registration by coordination allows:
- A. issuers of federal covered securities to submit only a notice filing with the Administrator of states in which the securities will be offered for sale.
- B. both state-registered and out-of-state investment bankers to participate in the underwriting and registration of a new security issue.
- C. securities that do not fall within the category of federal covered securities to be registered simultaneously with the SEC and with the states in which the securities will be offered for sale.
- D. federal covered securities to be registered simultaneously with the SEC and with the states in which the securities will be offered for sale.
Correct Answer: C 🗳️
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Mr. Bigwig, CEO of HiGrowth Corporation, meets with the president of BigFee Investment Bankers and arranges for BigFee to underwrite an Initial Public Offering (IPO) for the firm. When the IPO comes to market, GetErDone Broker-Dealers is part of the selling group, which handles the sale of the stock to the public.
In this scenario, which party is the broker?
- A. Mr. Bigwig
- B. BigFee Investment Bankers
- C. HiGrowth Corporation
- D. GetErDone Broker-Dealers
Correct Answer: D 🗳️
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Carrie is a registered agent employed by CanDo Broker-Dealers. Her uncle is a minister who regularly refers his parishioners to Carrie, in return for which Carrie has agreed to donate a quarter of her commissions from these transactions to the parish.
Is Carrie doing anything illegal?
- A. No. Carrie is just donating some of her commissions back to the church, and transactions with
- B. It depends. As long as the church parishioners are aware of the arrangement between Carrie and
- C. It depends. If the church itself is a client of CanDo's, then it is considered to be affiliated with
- D. Yes. Carrie is splitting her commissions with an entity that is not affiliated with her broker-dealer
Correct Answer: D 🗳️
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You are an investment adviser representative. Your client, Mr. I. M. Pulse, calls you with what he thinks is exciting news. He just passed a restaurant and saw Microsoft's Bill Gates having lunch with a local entrepreneur who owns a small firm in the computer software industry that trades on the OTC pink sheets. He is sure that this means Microsoft is negotiating a purchase of the smaller company and instructs you to take the cash balance in his account and buy shares of the local company. You should
- A. do both A and B.
- B. tell Mr. I.M. Pulse that this would be an illegal insider trade and that you are unable to fulfill his request.
- C. advise Mr. Pulse that he may be jumping the gun, but place the order if he insists.
- D. call your supervisor and alert him immediately of Mr. Pulse's attempt to have you place an illegal order on his behalf in case Mr. Pulse decides to place the order elsewhere.
Correct Answer: C 🗳️
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