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FINRA Series_63 Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Regulatory Provisions and Compliance | - Recordkeeping and administrative provisions - Enforcement actions and penalties - Ethical practices and fiduciary obligations |
| Registration Procedures and Requirements | - Registration process for agents and broker-dealers - State notice filings and renewals |
| State Securities Acts and Related Rules | - Definitions and terminology under Uniform Securities Act - Exempt securities and exempt transactions - Registration of securities, broker-dealers, agents, and investment advisers |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
Jack and Jill are a newly married couple in their mid-20s. They are determined to retire by the time they
are 50 and have arranged a meeting with a representative of Professional Investment Advisers to
structure a financial plan that will allow them to achieve this goal.
The representative, Mr. Hill, advises them to invest at least 60% of their money in bond funds to minimize
the risk of loss on the way to their goal. Mr. Hill has
- A. made an unsuitable recommendation for these clients and is subject to license suspension or
revocation. - B. committed fraud in indicating that bonds are less risky than stocks.
- C. advised Jack and Jill well with a conservative allocation of their money to preserve principal.
- D. has committed fraud in promoting their delusion that they can possibly expect to retire by the time they
turn 50, regardless of their investment strategy.
Correct Answer: A 🗳️
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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 acting as a dealer?
- A. HiGrowth Corporation
- B. Mr. Bigwig
- C. GetErDone Broker-Dealers
- D. BigFee Investment Bankers
Correct Answer: D 🗳️
Explanation: Only visible for ActualPDF members. You can sign-up / login (it's free).
Which of the following is a security as defined by the Uniform Securities Act (USA)?
- A. a futures option contract on wheat
- B. a debenture
- C. a term life insurance policy
- D. Both A and B are securities as defined by the Uniform Securities Act.
Correct Answer: D 🗳️
Explanation: Only visible for ActualPDF members. You can sign-up / login (it's free).
An agent cannot tell a client that a mutual fund is "no load" if the fund has
I. a front-end load
II. a contingent deferred sales load
III. 12b-1 fees
- A. I only
- B. I or III only
- C. I or II only
- D. I, II or III
Correct Answer: C 🗳️
Explanation: Only visible for ActualPDF members. You can sign-up / login (it's free).
A client calls CanDo Broker-Dealers with a market-not-held order to buy 5,000 shares of China Security
and Surveillance Technology, Inc. (CSR), which sells on the NYSE, "at a good price today." The stock had
opened at $5.13, traded as high as $5.36 during the day, and closed at $5.10. CanDo executed the
purchase at a price of $5.31, so at market close, the client had lost $1,050. The client can
- A. do nothing about it.
- B. refuse to pay for the stock on the settlement date.
- C. refuse to pay CanDo commissions for the purchase.
- D. sue CanDo for not getting him the best price of the day-or anything close to it.
Correct Answer: A 🗳️
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