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FINRA Series_63 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Regulations of Investment Adviser Representatives | 5% | - Exclusions and exemptions - Registration and post-registration duties - Definition and activities requiring registration |
| Regulations of Agents of Broker-Dealers | 13% | - Termination and notice requirements - Definition and scope of activities - Exemptions from registration - Registration procedures and Form U4 |
| Ethical Practices and Fiduciary Obligations | 40% | - Conflicts of interest and compensation - Anti-fraud provisions and misrepresentation - Prohibited business practices - Advertising and communication rules - Handling of customer funds and securities - Customer suitability and disclosure |
| Regulations of Securities and Issuers | 10% | - Definition of securities - Exempt securities and exempt transactions - Disclosure and anti-fraud requirements - Registration methods: coordination, qualification, filing |
| Regulations of Broker-Dealers | 12% | - Registration and post-registration requirements - Supervision and compliance obligations - Definition and legal status - Exclusions and exemptions from registration |
| Regulations of Investment Advisers | 5% | - Definition under Uniform Securities Act - Registration and exemptions - Recordkeeping and reporting rules |
| Administrative Provisions and Remedies | 15% | - Investigations, subpoenas, and orders - Powers of state securities administrators - Judicial review and appeals - Civil and criminal liabilities |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
"Federal covered securities" were defined and exempted from state registration requirements by the:
- A. Gramm-Leach-Bliley Act of 1999 (GLBA.)
- B. National Securities Markets Improvement Act of 1996 (NSMI)
- C. National Conference of Commissioners on Uniform State Laws (NCCUSL.)
- D. Uniform Securities Act (USA.)
Correct Answer: B 🗳️
Explanation: Only visible for PassSureExam members. You can sign-up / login (it's free).
A limited power-of-attorney gives the designated person the right to
I. order the sale of an asset owned by the account holder and have a check written to the account holder
for the amount of the proceeds.
II. obtain account statements, including tax statements, on behalf of the account holder.
III. order the purchase of an asset for the account holder's account.
- A. I, II, and III
- B. I and III only
- C. I and II only
- D. II and III only
Correct Answer: D 🗳️
Explanation: Only visible for PassSureExam members. You can sign-up / login (it's free).
Under the Uniform Securities Act, which of the following does not need to be included when filing to
register a security issue with the state?
- A. a copy of the firm's articles of incorporation and bylaws, or the equivalent
- B. All of the above documents must be included when filing to register a security with the state.
- C. copies of the underwriter agreements
- D. a copy of any indenture applying to the security being registered
Correct Answer: B 🗳️
Explanation: Only visible for PassSureExam members. You can sign-up / login (it's free).
You have recently discovered that a security you purchased has not been registered with the state, nor is
it exempt from registration. You can file a civil claim against the seller as long as you do so within
- A. three years from discovery or five years from the event, whichever comes first.
- B. two years from discovery or three years from the event, whichever comes first.
- C. five years.
- D. one year from discovery.
Correct Answer: B 🗳️
Explanation: Only visible for PassSureExam members. You can sign-up / login (it's free).
When a customer files a complaint with a broker-dealer,
I. the broker-dealer must submit the complaint to the firm's compliance department.
II. the broker-dealer must provide a prompt written response to the complainant.
III. the broker-dealer must temporarily suspend the activities of any agent named in the complaint.
- A. I, II and III
- B. I and III only
- C. I and II only
- D. II and III only
Correct Answer: C 🗳️
Explanation: Only visible for PassSureExam members. You can sign-up / login (it's free).
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