- Exam Code: Series_63
- Exam Name: Uniform Securities Agent State Law Examination
- Certification Provider: FINRA
- Corresponding Certification:FINRA Certification
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FINRA Series_63 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Regulations of Investment Adviser Representatives | 5% | - Registration and post-registration duties - Definition and activities requiring registration - Exclusions and exemptions |
| Topic 2: Ethical Practices and Fiduciary Obligations | 40% | - Advertising and communication rules - Prohibited business practices - Customer suitability and disclosure - Conflicts of interest and compensation - Handling of customer funds and securities - Anti-fraud provisions and misrepresentation |
| Topic 3: Regulations of Agents of Broker-Dealers | 13% | - Exemptions from registration - Termination and notice requirements - Registration procedures and Form U4 - Definition and scope of activities |
| Topic 4: Administrative Provisions and Remedies | 15% | - Judicial review and appeals - Powers of state securities administrators - Civil and criminal liabilities - Investigations, subpoenas, and orders |
| Topic 5: Regulations of Securities and Issuers | 10% | - Registration methods: coordination, qualification, filing - Definition of securities - Disclosure and anti-fraud requirements - Exempt securities and exempt transactions |
| Topic 6: Regulations of Broker-Dealers | 12% | - Exclusions and exemptions from registration - Supervision and compliance obligations - Registration and post-registration requirements - Definition and legal status |
| Topic 7: Regulations of Investment Advisers | 5% | - Definition under Uniform Securities Act - Registration and exemptions - Recordkeeping and reporting rules |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
Under which of the following scenarios can a client legitimately sue a purported professional in the
securities industry and expect an award for damages?
I. The securities were sold by an agent whose registration was not yet effective with the state, but who
had already applied for registration.
II. The security was a variable annuity, and the sales representative neglected to reveal the details of the
surrender clause to the client.
III. The security was the stock of a company, the stock had recently been registered with the state for sale,
had been granted registration, and the selling agent had told his client that the security had been
state-approved for sale.
- A. I only
- B. I and III only
- C. II and III only
- D. I, II, and III
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You have recently discovered that a security you purchased has not been registered with the state, nor is
it exempt from registration. You can file a civil claim against the seller as long as you do so within
- A. two years from discovery or three years from the event, whichever comes first.
- B. three years from discovery or five years from the event, whichever comes first.
- C. one year from discovery.
- D. five years.
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Although an Administrator has broad powers, he or she cannot:
- A. formulate rules and orders.
- B. issue subpoenas involving compulsory attendance.
- C. gather evidence.
- D. deliver a judicial injunction.
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A tombstone advertisement is
- A. the only type of advertisement that an investment advisory firm is allowed to use.
- B. an offer to sell a new security that is being issued by an Arizona firm.
- C. the announcement of a new security that may become available for purchase.
- D. an offer to sell a new security.
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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. ignore Mr. Crochety's instruction since it is not in his best interest.
- 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. 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.
Explanation: Only visible for ITPassLeader members. You can sign-up / login (it's free).
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