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FINRA Series_63 Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Topic 1: Regulatory Provisions and Compliance | - Enforcement actions and penalties - Ethical practices and fiduciary obligations - Recordkeeping and administrative provisions |
| Topic 2: State Securities Acts and Related Rules | - Definitions and terminology under Uniform Securities Act - Exempt securities and exempt transactions - Registration of securities, broker-dealers, agents, and investment advisers |
| Topic 3: Registration Procedures and Requirements | - State notice filings and renewals - Registration process for agents and broker-dealers |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
Which of the following does not necessarily have to be included in the contract between an investment
adviser and an individual client, according to the Uniform Securities Act (USA)?
- A. if the investment adviser is a partnership, a statement indicating that the client will be notified if there is
any change in the partners within a reasonable time period - B. a statement stipulating that the contract cannot be assigned to another party without the client's
consent - C. the compensation agreement, which cannot be a percentage of the capital gains or capital appreciation
earned on the portfolio for all but the wealthiest of individual clients. - D. a statement of the investment policy that has been agreed upon between the adviser and the client
Correct Answer: D 🗳️
Explanation: Only visible for GuideTorrent members. You can sign-up / login (it's free).
Which of the following is a security as defined by the Uniform Securities Act (USA)?
- A. a debenture
- B. a futures option contract on wheat
- C. a term life insurance policy
- D. Both A and B are securities as defined by the Uniform Securities Act.
Correct Answer: D 🗳️
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MoeMoney Investment Advisers, LLC is registered in the state of Texas, and its three offices are all
located in the greater Dallas-Fort Worth area. Five of its clients-all individuals-have relocated to Colorado
and all have indicated a desire to retain the services of MoeMoney. In order for this to be possible,
- A. each client will have to write a letter to the Administrator of the state of Colorado on MoeMoney's
behalf. - B. MoeMoney will need to apply for and be granted registration as an investment adviser representative in
the state of Colorado. - C. Neither MoeMoney nor its clients need do anything.
- D. MoeMoney will need to apply for and be granted registration as an investment adviser in the state of
Colorado.
Correct Answer: C 🗳️
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Which of the following is not considered to be a person, as defined by the Uniform Securities Act?
- A. a 16-year old cheerleader
- B. a corporation
- C. a law firm that is organized as a partnership
- D. a school district
Correct Answer: A 🗳️
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Penny Swyne, an agent employed by Bear Broker-Dealers, has received a written complaint via e-mail
from Mr. Wolf regarding her performance as his agent. What are Ms. Swyne's legitimate options?
- A. Ms. Swyne can call Mr. Wolf and offer to meet him for a romantic dinner and try to convince him to
revoke the complaint. - B. Ms. Swyne must forward the complaint to the state Administrator.
- C. Ms. Swyne must provide Bear Broker-Dealers with a copy of the complaint.
- D. As illegal as it may sound, since the complaint was via e-mail, Ms. Swyne can hit the delete button and
make it all go away.
Correct Answer: C 🗳️
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