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FINRA Series63 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Remedies and Administrative Provisions | 9% | - Enforcement and penalties - State Administrator authority |
| Topic 2: Regulations of Securities and Issuers | 9% | - Issuer regulation principles - Securities registration and exemptions |
| Topic 3: Regulation of Broker-Dealers | 12% | - Federal and state registration standards - Broker-dealer regulatory requirements |
| Topic 4: Regulation of Investment Advisers | 5% | - Federal vs state adviser regulation - Investment adviser registration rules |
| Topic 5: Regulation of Broker-Dealer Agents | 13% | - Associated person regulations - Agent registration requirements |
| Topic 6: Ethical Practices and Obligations | 25% | - Conflicts of interest and fiduciary duties - Fraudulent and unethical conduct |
| Topic 7: Regulation of Investment Adviser Representatives | 5% | - Recordkeeping and contract standards - IAR registration and obligations |
| Topic 8: Communication with Customers and Prospects | 20% | - Advertising and correspondence rules - Disclosure requirements |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
1. Under the NASAA Model Rules, the statute of limitations for civil liabilities is
A) the earlier of two years after the discovery of facts and three years after the sale.
B) the earlier of three years after the discovery of facts and five years after the violation.
C) three years after the discovery of the facts and four years after the violation, whichever is greater.
D) the earlier of two years after the discovery of the facts and four years after the violation.
2. The state of Massachusetts has issued a general obligation (G.O.) bond that pays 3% interest. As an agent selling this bond, you can legitimately tell the investor that
A) the bond is guaranteed by the state of Massachusetts and is, therefore, a risk-free investment.
B) all of the above statements are true.
C) the interest income the investor receives from the bond will be free from federal taxation.
D) all state general obligation bonds are also guaranteed by the federal government.
3. Ari Gaunt is employed by a small state-registered broker-dealer and has recently received notification that his application to be a registered agent of the state has been accepted. Now that he is licensed to execute transactions for the firm's clients, Ari has a batch of business cards printed up, with a picture of himself on the right-hand side of the card. Underneath the picture is the caption, "State-Approved Agent." Will Ari be violating any securities laws if he distributes these business cards?
A) Yes. Agents are not permitted to include a picture of themselves on their business cards.
B) No. His registration with the Administrator of the state has been accepted, so he is entitled to call himself a "State-Approved Agent."
C) Yes. It is a violation of a securities law to suggest that he has been approved by the state Administrator.
D) No. However, he may be violating company policy of the broker-dealer he works for by designing his own cards.
4. You execute a stock transaction for a client on Thursday, September 23rd. The settlement date on the order ticket will be
A) Friday, September 24th.
B) Monday, September 27th.
C) Thursday, September 23rd.
D) Tuesday, September 28th.
5. You are a registered agent with a broker-dealer. One of your clients visits you and wants you to sell some of the U.S. government bonds she owns and purchase shares of a specific aggressive growth mutual fund for her with the proceeds. Your client is a mentally-competent, 84-year-old woman but, based on your other knowledge of her situation, you believe it to be an unwise move. You should
A) call the mutual fund and tell them that they must convince this client that an investment in their fund is not in her best interest, under penalty of law.
B) advise her that you don't believe this is in her best interest, but execute the required transactions if she insists.
C) turn the matter over to your supervisor.
D) nod politely, but not execute the transactions since they are not in her best interest.
Solutions:
| Question # 1 Answer: A | Question # 2 Answer: C | Question # 3 Answer: C | Question # 4 Answer: D | Question # 5 Answer: B |
Joanna -
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