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FINRA Series_63 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Regulation of Broker-Dealers and Agents | - Broker-Dealer definitions and requirements
| |
| Ethical Practices and Fiduciary Obligations | 40% | - Ethics in securities business
|
| Regulation of Investment Advisers and Representatives | - Investment Adviser registration
| |
| State Securities Acts and Related Rules | 60% | - Administrator Powers
|
FINRA Uniform Securities Agent State Law Examination Sample Questions:
Which of the following statements regarding the registration of broker-dealers and investment advisers is
true?
- A. Investment advisers are required either to be registered with a state or with the SEC, while
broker-dealers must be registered both with the SEC and the state. - B. Both investment advisers and broker-dealers must be registered with the SEC and with the states in
which they have offices. - C. Investment advisers must always be registered with the SEC to conduct business; broker-dealers may
be registered with either an individual state or the SEC or both. - D. Investment advisers are required to register with both the state and the SEC, while broker-dealers may
be registered with only one or the other.
Correct Answer: A 🗳️
Explanation: Only visible for Actual4Exams members. You can sign-up / login (it's free).
In which of the following scenarios would the Administrator of a state not have jurisdiction?
I. A monthly newspaper published by a resident of the state who is not a registered investment adviser
has a column in which the publisher makes specific investment recommendations for clients who write in
for advice. About 80% of the circulation of the publication is to out-of-state residents.
II. An internet blog posted by an out-of-state resident makes investment recommendations.
III. An out-of-state firm solicits buyers for its promissory notes within the state.
- A. II only
- B. I only
- C. I, II, and III
- D. I and II only
Correct Answer: D 🗳️
Explanation: Only visible for Actual4Exams members. You can sign-up / login (it's free).
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. for two full years.
- B. until December 31st of the same year
- C. until the maturity date on the bond.
- D. for one full year.
Correct Answer: D 🗳️
Explanation: Only visible for Actual4Exams members. You can sign-up / login (it's free).
Which of the following is not a security, as defined by the Uniform Securities Act?
I. an option contract
II. a futures contract on gold
III. a 401K plan
IV. a variable annuity
- A. Only Selections II and III are not securities.
- B. Only Selection III is not a security.
- C. None of the selections listed are securities.
- D. Selections II, III and IV are not securities.
Correct Answer: A 🗳️
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Joe Romeo is a broker-dealer registered with the state. He has recently hired Betty Buxom as his
administrative assistant. As part of her duties, he has given her the responsibility for effecting the
purchases and sales of securities for some of his firm's smaller accounts. Ms. Buxom has never applied
for nor been granted registration as a broker-dealer or agent. Based on these facts,
- A. the Administrator is required by the Uniform Securities Act to revoke Joe Romeo's registration and file
criminal and civil charges against him. - B. there is no problem as long as Ms. Buxom registers with the state as an agent within thirty days.
- C. the Administrator may elect to revoke or suspend Joe Romeo's registration, and Joe may also face
both civil and criminal penalties. - D. the Administrator is required to turn the case over to the state's district attorney, who will file criminal
charges against both Joe Romeo and Betty Buxom.
Correct Answer: C 🗳️
Explanation: Only visible for Actual4Exams members. You can sign-up / login (it's free).
No help, Full refund!
Actual4Exams confidently stands behind all its offerings by giving Unconditional "No help, Full refund" Guarantee. Since the time our operations started we have never seen people report failure in the FINRA Series_63 exam after using our products. With this feedback we can assure you of the benefits that you will get from our products and the high probability of clearing the Series_63 exam.
We still understand the effort, time, and money you will invest in preparing for your certification exam, which makes failure in the FINRA Series_63 exam really painful and disappointing. Although we cannot reduce your pain and disappointment but we can certainly share with you the financial loss.
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