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FINRA Series63 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Regulation of Investment Adviser Representatives | 5% | - Recordkeeping and contract standards - IAR registration and obligations |
| Remedies and Administrative Provisions | 9% | - Enforcement and penalties - State Administrator authority |
| Regulation of Broker-Dealer Agents | 13% | - Agent registration requirements - Associated person regulations |
| Communication with Customers and Prospects | 20% | - Advertising and correspondence rules - Disclosure requirements |
| Regulation of Broker-Dealers | 12% | - Broker-dealer regulatory requirements - Federal and state registration standards |
| Ethical Practices and Obligations | 25% | - Fraudulent and unethical conduct - Conflicts of interest and fiduciary duties |
| Regulation of Investment Advisers | 5% | - Federal vs state adviser regulation - Investment adviser registration rules |
| Regulations of Securities and Issuers | 9% | - Securities registration and exemptions - Issuer regulation principles |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
Question 1
Ms. Connie Fused sent her investment adviser a check, payable to a mutual fund that he had recommended to her.
What must the adviser do in order to avoid being considered the custodian of this account and, thereby, subject to some strict requirements, including a higher minimum net capital?
A. He needs both to forward the check within 24 hours and to obtain a written statement from Ms. Fused.
B. He needs to forward the check to the mutual fund within 3 days.
C. He needs to forward the check to the mutual fund within 24 hours.
D. He needs to get a written statement from Ms. Fused, addressed to the state Administrator, indicating it was her mistake.
Question 2
The settlement date refers to
A. the latest date on which broker-dealers can file their quarterly financial statements with the Administrator of the state.
B. the date the order to purchase or sell the security is sent to the market.
C. the date the buyer must pay for the securities purchased.
D. the date the order to purchase or sell a security is actually executed. This may differ from the date that the order is sent to the market in the cases of limit or stop orders.
Question 3
on No: 239
A tombstone advertisement is
A. the announcement of a new security that may become available for purchase.
B. the only type of advertisement that an investment advisory firm is allowed to use.
C. an offer to sell a new security that is being issued by an Arizona firm.
D. an offer to sell a new security.
Question 4
Investment Adviser Foo Lish, LLC has begun serving as a custodian of its clients' assets. Foo Lish, LLC must now
I. file a new U-5 form with the Administrator.
II. meet higher net capital requirements than before.
III. file an updated Form ADV with the Administrator.
IV. pay a CPA to do an annual unannounced audit of the firm.
A. II, III, and IV only
B. I and II only
C. II and III only
D. I, II, III, and IV
Question 5
Sam Shyster had his day in court-and lost. His license to do business as an investment adviser in the state has been revoked. What legitimate options does Sam have available to him now?
A. Sam has 60 days to file an appeal of the decision in a court of law.
B. Sam has 45 days in which to file an appeal with the attorney general.
C. Sam can register with the SEC as an investment adviser, which will exempt him from state registration requirements.
D. Sam can move to another state and apply for registration as an investment adviser there.
Solutions:
| Question 1 Answer: C | Question 2 Answer: C | Question 3 Answer: A | Question 4 Answer: A | Question 5 Answer: A |
