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FINRA Series63 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| State Securities Acts and Related Rules & Regulations | 40% | - Regulation of broker-dealers and agents - Definitions and jurisdiction - Regulation of investment advisers and representatives - Registration of securities and exemptions |
| Prohibited Practices and Ethical Obligations | 20% | - Disclosure and fair dealing - Administrative remedies and enforcement - Fraudulent and unethical business conduct |
| Regulations of Investment Advisers and Representatives | 15% | - Advertising and recordkeeping rules - Fiduciary duties and disclosure requirements - Registration and exclusions |
| Regulations of Agents and Broker-Dealers | 25% | - Registration requirements and exemptions - Supervision and compliance responsibilities - Recordkeeping and reporting obligations |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
A bond issue has recently been registered with the state Administrator.
Which of the following statements are true?
- A. Both A and B are true statements.
- B. The issuer may now offer this bond for sale, and any other bonds that the issuer may want to offer for sale in the future will be able be sold after the issuer executes a notice filing.
- C. The bond may now be offered for sale in the state.
- D. An investor can feel secure in buying the bond because it has recently been registered, which means that the state Administrator finds it to be of sound quality at this point in time.
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Big Bo is an investment adviser representative who has a lot of the members of a well-known professional football team as clients. In advertising his services, Big Bo can
- A. list the names of the players he's advising as long as he doesn't provide any other specifics, such as the amount each one has invested with him.
- B. use testimonials from any of the players who willingly provide them without compensation.
- C. list the names of the players he's advising as long as he has their written permission to do so.
- D. list the names of the players he's advising as long as he lists the names of all his other clients, too.
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A broker-dealer of commodity futures contracts has been profiting by trading for its own account either before or after executing a client's trade on the same commodity, depending on which will be most advantageous.
Under the Uniform Securities Act, the broker-dealer is guilty of
- A. nothing. The Uniform Securities Act (USA) deals only with securities, and a commodity futures contract is not a security.
- B. churning.
- C. unauthorized transactions.
- D. fraud.
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You are an investment adviser representative. Your client, Mr. I. M. Pulse, calls you with what he thinks is exciting news. He just passed a restaurant and saw Microsoft's Bill Gates having lunch with a local entrepreneur who owns a small firm in the computer software industry that trades on the OTC pink sheets. He is sure that this means Microsoft is negotiating a purchase of the smaller company and instructs you to take the cash balance in his account and buy shares of the local company. You should
- A. do both A and B.
- B. tell Mr. I.M. Pulse that this would be an illegal insider trade and that you are unable to fulfill his request.
- C. advise Mr. Pulse that he may be jumping the gun, but place the order if he insists.
- D. call your supervisor and alert him immediately of Mr. Pulse's attempt to have you place an illegal order on his behalf in case Mr. Pulse decides to place the order elsewhere.
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MoeMoney Investment Advisers uses the services of two broker-dealers exclusively when it executes trades for its clients' accounts. The larger of the two broker-dealers provides MoeMoney with research from its analyst department in return for the business and also serves as the custodian for some of MoeMoney's clients' accounts. The smaller of the two broker-dealers picks up the utility bill for MoeMoney. MoeMoney is careful to disclose this form of "soft dollar" compensation to its clients.
Is it in violation of any securities laws?
- A. No. Investment advisers are entitled to receive soft dollar compensation from broker-dealers with which it has a relationship as long as they disclose this to their clients.
- B. Yes. Investment advisers are prohibited from receiving any soft dollar compensation whatsoever.
- C. Yes. Investment advisers are required to use more than two broker-dealers when executing trades on its clients' accounts.
- D. Yes. Although investment advisers are permitted to receive some forms of soft dollar compensation from broker-dealers with which it has a relationship, such as research or custodial services, other forms of soft dollar compensation, including the payment of overhead expenses,are prohibited.
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