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FINRA Series_63 Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| State Securities Acts and Related Rules | - Definitions and terminology under Uniform Securities Act - Registration of securities, broker-dealers, agents, and investment advisers - Exempt securities and exempt transactions |
| Regulatory Provisions and Compliance | - Ethical practices and fiduciary obligations - Enforcement actions and penalties - Recordkeeping and administrative provisions |
| Registration Procedures and Requirements | - State notice filings and renewals - Registration process for agents and broker-dealers |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
Which of the following does not describe a prohibited activity by investment advisers and their
representatives, according to NASAA Model Rules?
- A. The agreement that Simon LaGree has his clients sign indicates that LaGree uses SecureMoney
Broker-Dealers in executing trades for his clients and that, in return, LaGree receives software from the
broker-dealer that allows LaGree to perform some fundamental and technical analysis. - B. A 72-year-old retired social worker comes to Simon LaGree for investment advice. She has $50,000 to
invest. Simon recommends she invest half of it in an international growth mutual fund and half in a
variable annuity. - C. All of the above describe prohibited practices.
- D. A new client comes to Simon LaGree for investment advice. The client has $25,000 to invest.Simon
tells the client that it will cost the client $5,000 to have a customized financial plan developed for him, but
after that the client needs to pay only 5% of the total value of the assets under management each quarter.
Correct Answer: A 🗳️
Explanation: Only visible for BootcampPDF 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, II, and III
- C. I only
- D. III only
Correct Answer: D 🗳️
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A-2-Z Associates is a full service brokerage and is also in the investment advisory industry, charging its
clients for investment advice for additional remuneration. Which of the following statements is true?
- A. A-2-Z can charge the client both an advisory fee for its advice and a commission on any trade the client
makes based on the advice. This is all laid out in the advertising brochures full service brokerage firms
like A-2-Z provide their prospective clients. - B. A-2-Z can charge an individual client an advisory fee for its advice or a commission when it executes a
trade that the client makes based on that advice, but not both. - C. A-2-Z can charge the client only an advisory fee when it is serving as an investment adviser; no
commissions may be collected. - D. A-2-Z can charge the client both an advisory fee for its advice and a commission for the execution of a
trade based on that advice, but it must inform the client of its potential conflict of interest in doing so and
get the client's written consent.
Correct Answer: D 🗳️
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The Administrator may not introduce a stop order to deny, revoke, or suspend the effective registration of
a security based on facts that were disclosed during the registration process unless he does so within
- A. 1 year.
- B. 30 days.
- C. 60 days.
- D. 45 days.
Correct Answer: B 🗳️
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Which of the following statements best explains the difference between an agent and a broker-dealer?
- A. An agent is an individual who represents a broker-dealer or an issuer and buys and sells securities he
does not own in return for a commission on the transactions he executes. A broker-dealer may also buy
and sell securities for his own portfolio, in which case the broker-dealer enjoys any price appreciation on
those securities. - B. Agents are engaged exclusively in the purchase and sale of stocks whereas broker-dealers also buy
and sell bonds and option contracts. - C. A broker-dealer must be licensed in the state in which he conducts business, but there are no separate
licensing requirements for agents. - D. Agents conduct their business exclusively in the secondary market, while broker-dealers also operate
in the primary market.
Correct Answer: A 🗳️
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