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FINRA Series63 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Regulations of Agents and Broker-Dealers | 25% | - Registration requirements and exemptions - Recordkeeping and reporting obligations - Supervision and compliance responsibilities |
| Regulations of Investment Advisers and Representatives | 15% | - Advertising and recordkeeping rules - Registration and exclusions - Fiduciary duties and disclosure requirements |
| Prohibited Practices and Ethical Obligations | 20% | - Disclosure and fair dealing - Administrative remedies and enforcement - Fraudulent and unethical business conduct |
| State Securities Acts and Related Rules & Regulations | 40% | - Definitions and jurisdiction - Regulation of broker-dealers and agents - Registration of securities and exemptions - Regulation of investment advisers and representatives |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
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 and III only
- B. I and II only
- C. I, II, and III
- D. II and III only
Correct Answer: D 🗳️
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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. nothing. The Uniform Securities Act (USA) deals only with securities, and a commodity futures contract is not a security.
- B. fraud.
- C. unauthorized transactions.
- D. churning.
Correct Answer: A 🗳️
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An investment adviser suggests that his client, Arnold, a 74-year old gentleman, should consider a reallocation of the assets in his portfolio. The adviser tells Arnold that he has far too much invested in bonds, which don't earn as much as stocks. He advises Arnold to take 80% of the money he has in bonds and invest it in an aggressive growth mutual fund that has provided an average annual return of 40% over the past three years.
Arnold is impressed and follows this advice. Shortly thereafter, there is a steep drop in the market in general, and the net asset value of the aggressive growth mutual fund falls 85%.
Does Arnold have any remedies available to him?
- A. Yes. Arnold can sue for the amount of his losses, plus interest, court costs, and attorneys' fees.
- B. Yes. Arnold can sue for the amount of his losses, plus interest, as well as an amount assessed by the court for "pain and suffering."
- C. No. The investment adviser had no way of knowing that the market was going to fall when he provided the advice, so the adviser did not fail in his fiduciary responsibility to Arnold.
- D. No. Arnold had the choice and got greedy. As the old saying goes, "Bulls get rich, and bears get rich, but pigs get led to slaughter."
Correct Answer: A 🗳️
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n No: 85
Which of the following is not in itself a reason for the Administrator to deny, suspend, or revoke the license of a person?
- A. The applicant has never before worked in the securities industry although he has received the requisite training.
- B. The person has been convicted of check kiting within the past ten years.
- C. The person is a broker-dealer whose agents have repeatedly been accused of churning and burning, according to written client complaints.
- D. Some of the information supplied on the registration application was found to be false.
Correct Answer: A 🗳️
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Which of the following conditions is necessary for an act involving securities fraud to be considered criminal and subject to criminal penalties?
- A. The victim(s) lost a combined total of at least $25,000 because of the act.
- B. The Administrator decides to send the case to criminal court.
- C. The perpetrator willfully committed the fraudulent act.
- D. The act extended across state lines.
Correct Answer: C 🗳️
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