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FINRA Series63 Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Administrative Provisions and Enforcement | - State enforcement powers and penalties - Recordkeeping and reporting requirements |
| Regulation of Investment Advisers and Agents | - Broker-dealer regulation and supervision - Registration requirements for agents |
| State Securities Acts and Regulations | - Registration of securities and exemptions - Uniform Securities Act (USA) framework |
| Ethical Practices and Fiduciary Responsibilities | - Disclosure obligations and client protection - Prohibited practices and fraud prevention |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
Which of the following trades is illegal?
- A. a short sale
- B. a market-not-held order
- C. a margin transaction
- D. the sale of a mutual fund if the purchaser hasn't received a prospectus
Correct Answer: D 🗳️
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Bootstraps, Inc. is a family-owned business that has experienced enormous growth in the last couple of years.
The business needs more cash to support this growth and has decided to issue some promissory notes, each with a face value of $5,000, for sale to the general public. The firm plans to hire three individuals to help them sell these notes. These individuals will earn a commission based on the notes they sell.
Given these facts, which of the following is true?
- A. The notes must be registered with the state, and the three individuals hired to sell the notes must be registered as agents with the state.
- B. The notes must be registered with the state, but the individuals hired to sell them are not required to be registered.
- C. Neither the notes nor the individuals selling the notes need to be registered with the state.
- D. Either the firm must register the notes with the state, or the individuals that are hired to sell the notes must be registered as agents with the state, but not both.
Correct Answer: A 🗳️
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You are an agent with a broker-dealer and have learned of limited partnership interests being sold by a small company that is planning to come out with a product that you think is going to "wow" the market. You would like to get in on the action, but the minimum investment needed is $10,000, and you don't have that kind of dough lying around. You talk to your brother, who is also one of your clients, and get him interested in investing in the firm, too. The two of you decide to pull your money together, each putting in $5,000, and you agree to split any profits or losses.
Is this permitted?
- A. Maybe. But it will require written consent from both your brother and your firm.
- B. Yes, as long as your brother provides your firm with his written consent.
- C. Yes. This is permitted since the agreement is between you and a family member.
Correct Answer: B 🗳️
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Fly-By-Night Investment Advisers has closed its doors.
Which of the following statements is true?
- A. Fly-By-Night is required to shred all documentation of client transactions and communications.
- B. Fly-By-Night must preserve and maintain all records, including client transactions and communications, advertising materials, and financial statements of the now-defunct business for five years.
- C. Fly-By-Night must send all records of client transactions and communications to the state Administrator for safekeeping.
- D. Fly-By-Night must send each of its former clients its records of all that client's transactions and communications with the firm over the past five years.
Correct Answer: B 🗳️
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The current yield on a bond fund refers to
- A. the return that the fund earned because of the capital appreciation of the securities in the fund.
- B. the total return that the fund has earned over the most recent 12-month period.
- C. the percentage increase in the fund's net asset value.
- D. the return that the fund earned based only on the interest income it received
Correct Answer: D 🗳️
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