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FINRA Series_63 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Regulations of Investment Adviser Representatives | 5% | - Exclusions and exemptions - Registration and post-registration duties - Definition and activities requiring registration |
| Topic 2: Regulations of Securities and Issuers | 10% | - Registration methods: coordination, qualification, filing - Disclosure and anti-fraud requirements - Definition of securities - Exempt securities and exempt transactions |
| Topic 3: Ethical Practices and Fiduciary Obligations | 40% | - Advertising and communication rules - Conflicts of interest and compensation - Customer suitability and disclosure - Handling of customer funds and securities - Prohibited business practices - Anti-fraud provisions and misrepresentation |
| Topic 4: Regulations of Investment Advisers | 5% | - Recordkeeping and reporting rules - Registration and exemptions - Definition under Uniform Securities Act |
| Topic 5: Regulations of Broker-Dealers | 12% | - Registration and post-registration requirements - Exclusions and exemptions from registration - Definition and legal status - Supervision and compliance obligations |
| Topic 6: Administrative Provisions and Remedies | 15% | - Judicial review and appeals - Powers of state securities administrators - Civil and criminal liabilities - Investigations, subpoenas, and orders |
| Topic 7: Regulations of Agents of Broker-Dealers | 13% | - Termination and notice requirements - Exemptions from registration - Registration procedures and Form U4 - Definition and scope of activities |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
Which of the following is not a method that can be used to register securities with the state?
- A. registration by exception
- B. registration by coordination
- C. registration by notification
- D. registration by qualification
Correct Answer: A π³οΈ
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. I only
- B. II only
- C. I and II only
- D. I, II, and III
Correct Answer: C π³οΈ
Explanation: Only visible for PassReview members. You can sign-up / login (it's free).
You are an investment adviser to Mr. Crochety, an elderly man who lives solely on his social security
income although he managed to accumulate an investment portfolio worth about $100,000 over the years.
Mr. Crochety recently got his hands on a business publication and read about the tax-free interest paid by
municipal bonds. He calls you and instructs you to sell his other investments and invest all his money in a
municipal bond portfolio, so that "the government doesn't get any more of my hard-earned money." You
tell Mr. Crochety that you don't believe this is a wise move because he's in such a low tax bracket that
municipal bonds are not a good investment for him, but he is insistent. Based on these facts, you should
- A. require Mr. Crochety to sign an affidavit of liability waiver, indicating that you will not be held responsible for any adverse consequences of this decision.
- B. have Mr. Crochety sign a statement of investment policy that indicates that this transaction is being executed on the client's instructions and that you have advised the client against it.
- C. call Mr. Crochety's relatives and suggest they have him examined for mental instability.
- D. ignore Mr. Crochety's instruction since it is not in his best interest.
Correct Answer: B π³οΈ
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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 the broker?
- A. HiGrowth Corporation
- B. GetErDone Broker-Dealers
- C. Mr. Bigwig
- D. BigFee Investment Bankers
Correct Answer: B π³οΈ
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Which of the following would be considered an "issuer" transaction?
- A. Jacob calls his broker and places an order to purchase 100 shares of Hasbro, Inc. on the open market.
- B. None of the above is an "issuer" transaction.
- C. Kim sells an AT&T bond she holds that still has three years remaining to maturity.
- D. Maria purchases 500 shares of Dodge and Cox's International Fund, a mutual fund investing in foreign
securities.
Correct Answer: D π³οΈ
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