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FINRA Series63 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: State Securities Acts and Related Rules & Regulations | 40% | - Definitions and jurisdiction - Regulation of investment advisers and representatives - Registration of securities and exemptions - Regulation of broker-dealers and agents |
| Topic 2: Regulations of Investment Advisers and Representatives | 15% | - Registration and exclusions - Advertising and recordkeeping rules - Fiduciary duties and disclosure requirements |
| Topic 3: Regulations of Agents and Broker-Dealers | 25% | - Recordkeeping and reporting obligations - Registration requirements and exemptions - Supervision and compliance responsibilities |
| Topic 4: Prohibited Practices and Ethical Obligations | 20% | - Disclosure and fair dealing - Administrative remedies and enforcement - Fraudulent and unethical business conduct |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
Question 1
A broker-dealer is required to keep his records for how long?
A. at least three years
B. at least five years
C. at least seven years
D. broker-dealer is required to keep his records for as long as he is registered in the state.
Question 2
Which of the following securities would be exempt from state registration requirements, according to the Uniform Securities Act?
I. a municipal bond issued by the Canadian province of Nova Scotia
II. a bond issued by the county of Cork, Ireland
III. a bond issued by Nationwide Insurance Company
A. Selection I only
B. Selection III only
C. Selection I and III only
D. All of the selections would be exempt from state registration requirements under the Uniform
Question 3
The Administrator of a state will deny the registration of a security if
I. the mandated filing fee has not been paid.
II. the compensation of the underwriters is excessive.
III. the registration statement is incomplete.
IV. the issuer is registering the security through the registration by coordination process and has not complied with all the stipulated requirements.
A. I, II, III, or IV
B. III or IV only
C. I or III only
D. I, III or IV only
Question 4
Nancy's Aunt Ethel died, making Nancy executrix of her estate. In going through Aunt Ethel's belongings, Nancy discovered some stock certificates that she learned had been issued by a small New Jersey firm that was still in business. The problem lay in the fact that Nancy's Aunt Ethel had moved from New Jersey to Florida years ago, and the stock is registered only in the state of New Jersey. Nancy herself is a resident of Massachusetts.
What does Nancy have to do in order to sell this stock?
A. Nancy will need to contact a broker-dealer licensed in the state of New Jersey to help her with the sale of this stock.
B. Nancy will have to establish a mailing address in New Jersey before she can legally sell this stock.
C. Nancy will need to contact a securities law firm in Florida to help her register the stock in the state of Florida.
D. Nancy can sell the stock without a problem as executrix of her aunt's estate.
Question 5
Which of the following persons would not be required to register with the state as an agent under the guidelines of the Uniform Securities Act (USA)?
A. Preetham is part-owner of SecureMoney Broker-Dealers and executes the purchase and sale of securities for the firm's customers.
B. Keith is a salaried employee of Middlesex County in Massachusetts who sells revenue bonds issued by the county to the public.
C. Stefan is a sales representative for SecureMoney Broker-Dealers and sells only mutual fund shares.
D. John is employed by TrustUs Corporation to sell shares of the firm's stock to the firm's employees and receives a commission on the shares he sells.
Solutions:
| Question 1 Answer: A | Question 2 Answer: C | Question 3 Answer: A | Question 4 Answer: D | Question 5 Answer: B |
