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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 - Regulation of investment advisers and representatives - Definitions and jurisdiction - Registration of securities and exemptions |
| Regulations of Investment Advisers and Representatives | 15% | - Fiduciary duties and disclosure requirements - Registration and exclusions - Advertising and recordkeeping rules |
| Prohibited Practices and Ethical Obligations | 20% | - Administrative remedies and enforcement - Disclosure and fair dealing - Fraudulent and unethical business conduct |
| Regulations of Agents and Broker-Dealers | 25% | - Registration requirements and exemptions - Recordkeeping and reporting obligations - Supervision and compliance responsibilities |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
Question 1
Under NASAA Model Rules, it is permissible for the registered representative of a broker-dealer to split his or her commission with
I. a client.
II. the broker-dealer with which the registered representative is affiliated.
III. another registered representative working for the same broker-dealer.
IV. the administrative assistant who directs calls to the registered representative and provides other services for the agent.
A. II, III, and IV only
B. II and III only
C. I, II, and III only
D. I, II, III, and IV
Question 2
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 acting as a dealer?
A. Mr. Bigwig
B. BigFee Investment Bankers
C. HiGrowth Corporation
D. GetErDone Broker-Dealers
Question 3
Nat Smart was employed as an investment adviser representative and sold many of his clients on a municipal bond fund of which he was fond, telling his clients that the returns earned on it were completely free from federal taxation. Unfortunately, he had some unhappy clients when, at the end of the year, they discovered that they had to pay federal tax on the capital gains earned by the fund when it sold some of the bonds it held. Nat was as surprised as they were.
Based on these facts, which of the following statements is necessarily true?
I. Because Nat was as surprised as they were, he is guiltless.
II. Nat is subject to civil liability payments.
III. Nat will be subject to the criminal penalties for fraud and may spend time in prison.
A. I only
B. II and III only
C. III only
D. II only
Question 4
Ms. Muffet is employed by Spyder Broker-Dealers. Her job duties include providing price quotes and executing purchases and sales for the firm's clients. She is paid a salary plus commission. Ms. Muffet is
A. an investment adviser representative.
B. an agent.
C. a broker-dealer.
D. an investment adviser.
Question 5
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. churning.
B. nothing. The Uniform Securities Act (USA) deals only with securities, and a commodity futures contract is not a security.
C. unauthorized transactions.
D. fraud.
Solutions:
| Question 1 Answer: B | Question 2 Answer: B | Question 3 Answer: D | Question 4 Answer: B | Question 5 Answer: B |
