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FINRA Series_63 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Administrative Provisions and Remedies | 15% | - Powers of state securities administrators - Investigations, subpoenas, and orders - Civil and criminal liabilities - Judicial review and appeals |
| Ethical Practices and Fiduciary Obligations | 40% | - Conflicts of interest and compensation - Anti-fraud provisions and misrepresentation - Customer suitability and disclosure - Handling of customer funds and securities - Advertising and communication rules - Prohibited business practices |
| Regulations of Investment Adviser Representatives | 5% | - Exclusions and exemptions - Definition and activities requiring registration - Registration and post-registration duties |
| Regulations of Investment Advisers | 5% | - Recordkeeping and reporting rules - Definition under Uniform Securities Act - Registration and exemptions |
| Regulations of Securities and Issuers | 10% | - Disclosure and anti-fraud requirements - Registration methods: coordination, qualification, filing - Definition of securities - Exempt securities and exempt transactions |
| Regulations of Agents of Broker-Dealers | 13% | - Termination and notice requirements - Registration procedures and Form U4 - Definition and scope of activities - Exemptions from registration |
| Regulations of Broker-Dealers | 12% | - Exclusions and exemptions from registration - Registration and post-registration requirements - Supervision and compliance obligations - Definition and legal status |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
You had the misfortune of working as a registered agent for an unscrupulous broker-dealer. You weren't
privy to any of it, but apparently, your broker-dealer was guilty of some fraudulent activities and has had
his license revoked. In this instance,
- A. you must wait until the broker-dealer's day in court before you can work in the securities industry again
because the Administrator will want to be certain that you knew nothing of it. - B. you can simply find another broker-dealer to hire you and have your license transferred to him.
- C. the state Administrator will assign you and any other affected agents to work for other broker-dealers
registered with the state. - D. you are no longer a licensed agent with the state and must reapply for a license in order to work for
another broker-dealer.
Correct Answer: D 🗳️
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An investment adviser may not
- A. accept any kind of soft dollar compensation for using certain broker-dealers to execute trades on their
clients' accounts. - B. recommend a stock to a client that the adviser itself holds without disclosing to the client that the
adviser owns the stock. - C. take a position-either long or short-in securities in which any of its clients have a position.
- D. also be registered as a broker-dealer in the state.
Correct Answer: B 🗳️
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Goldie Locks is an agent with Bear Broker-Dealers. One of her clients is a single woman, Annie Spinster,
who is retired and needs income from her investment portfolio to meet her current needs for liquidity. In
addition to investing in mutual funds, Annie likes the thrill of investing in single stocks and asks Goldie for
recommendations. Goldie recommends Annie invest some of her money in Alcon (ACL), a medical
instrument and supplies company selling on the NYSE, based on the fact that it has a high dividend yield
and is paying a dividend of $2.21 a share, which is guaranteed to continue or even increase, Goldie
assures Annie. Has Goldie violated any laws or engaged in any prohibited practices?
- A. Both A and B are true.
- B. Yes. As the agent of a broker-dealer, Goldie is not permitted to make recommendations for specific
investments. Only investment adviser representatives and investment advisers can do that. - C. Yes. At the very least, Goldie has committed fraud since she cannot guarantee that a firm's dividend
will continue or increase. - D. No. Goldie merely responded to a recommendation request from a client, and the recommendation is
suitable since the client has a need for current income and the recommended stock pays a high dividend.
Correct Answer: C 🗳️
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Which of the following documents must a broker-dealer deliver on or prior to the confirmation due date to
a client who is purchasing a security?
- A. a margin agreement if the purchase is being made on margin
- B. a hypothecation agreement
- C. a final prospectus
- D. a preliminary prospectus
Correct Answer: C 🗳️
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In which of the following scenarios will the investment adviser be subject to criminal fraud charges?
- A. An adviser owns the stock of TweedleDee Corporation and has issued a report recommending the
stock as a "buy," disclosing the fact that it owns the stock - B. all of the above. It is considered criminal fraud for an investment adviser to make any
recommendations on a security in which it has or plans to have a position. - C. An adviser owns the stock of TweedleDee Corporation and has issued a report recommending the
stock as a "buy" without disclosing the fact that it owns the stock. - D. An adviser sells its shares of TweedleDee Corporation after issuing a report recommending the stock
as a "buy."
Correct Answer: D 🗳️
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