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FINRA Series63 Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Topic 1: Ethical Practices and Fiduciary Responsibilities | - Prohibited practices and fraud prevention - Disclosure obligations and client protection |
| Topic 2: Administrative Provisions and Enforcement | - State enforcement powers and penalties - Recordkeeping and reporting requirements |
| Topic 3: Regulation of Investment Advisers and Agents | - Registration requirements for agents - Broker-dealer regulation and supervision |
| Topic 4: State Securities Acts and Regulations | - Uniform Securities Act (USA) framework - Registration of securities and exemptions |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
Which of the following actions is the Administrator of a state empowered to take?
- A. require restitution for the victims of a scam
- B. gather evidence
- C. The Administrator of a state has the authority to take all of the above actions.
- D. impose civil penalties in cases of fraud
Correct Answer: B 🗳️
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Bob Gogetter is an agent with CanDo Broker-Dealers. One of Bob's clients is out of the country and cannot be contacted. The client holds some stock in a company that just released some information that should make its stock price soar. Bob knows that this client would probably want to increase his holdings, so Bob opens a margin account for his client and borrows the money to buy shares. As it happened, the stock price did soar, and Bob's client earned a sizeable profit.
Is Bob in violation of any securities acts?
- A. Yes. It is against the law for an agent to open a margin account for a client without the client's.
- B. No. Bob has a fiduciary responsibility to his client to act in his best interest, and Bob knew this.
- C. Yes. Bob is guilty of prohibited practice of churning.
- D. No, but only because Bob's client profited from Bob's intervention. If the stock had declined in.
Correct Answer: A 🗳️
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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 🗳️
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If an issuer registers securities with the state, how long can the documentation supplied in the registration statement for those securities be incorporated by reference only into a registration statement for future securities the issuer wants to offer for sale?
- A. two years
- B. seven years
- C. five years
- D. one year
Correct Answer: C 🗳️
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Broker-Dealer Wheeler has no offices in the state. Wheeler does, however, sell corporate bonds from his portfolio to banks and insurance companies located in the state that purchase the bonds for their investment portfolios. He executes about twelve of these transactions a year. Wheeler profits from the price appreciation of the bonds during the time he held them, but receives no other form of compensation. Based on these facts,
- A. Wheeler must register as a broker-dealer in the state, and the securities must also be registered before they can be sold to in-state investors.
- B. Wheeler need not register in the state, and the securities are also exempt from registration.
- C. Wheeler must register as a broker-dealer in the state, but the securities do not need to be registered.
- D. Wheeler need not register in the state, but the securities must be registered before they can be sold to in-state investors.
Correct Answer: B 🗳️
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