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FINRA Series63 Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Ethical Practices and Fiduciary Responsibilities | - Disclosure obligations and client protection - Prohibited practices and fraud prevention |
| State Securities Acts and Regulations | - Registration of securities and exemptions - Uniform Securities Act (USA) framework |
| Administrative Provisions and Enforcement | - State enforcement powers and penalties - Recordkeeping and reporting requirements |
| Regulation of Investment Advisers and Agents | - Registration requirements for agents - Broker-dealer regulation and supervision |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
It has come to the attention of the Administrator of the state that Samuel Shyster provided false information on his application to become a registered investment adviser with the state. Prior to revoking Samuel's license, the Administrator will provide Samuel with which of the following?
I. prior notice
II. an opportunity to fill out a new registration statement
III. an opportunity for a hearing
IV. a written statement regarding the facts and the legal consequences
- A. I, III, and IV
- B. I, II, and IV
- C. I, II, and III
- D. I, II, III, and IV
Explanation: Only visible for ValidVCE members. You can sign-up / login (it's free).
According to the NASAA Model Rules, a broker-dealer is not permitted to allow a customer to engage in margin transactions unless
- A. the broker-dealer receives a margin agreement signed by the client promptly after the client's first margin transaction.
- B. the client has a net worth of at least $500,000.
- C. the client has been a customer of the firm for at least 6 months.
- D. the broker-dealer already has a margin agreement signed by the client in hand.
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Mr. Bigwig, CEO of HiGrowth Corporation, meets with the president of BigFee Investment Bankers and arranges for BigFee to underwrite an Initial Public Offering (IPO) for the firm. When the IPO comes to market, GetErDone Broker-Dealers is part of the selling group, which handles the sale of the stock to the public.
In this scenario, which party is the broker?
- A. HiGrowth Corporation
- B. GetErDone Broker-Dealers
- C. Mr. Bigwig
- D. BigFee Investment Bankers
Explanation: Only visible for ValidVCE members. You can sign-up / login (it's free).
Which of the following would be an unsuitable recommendation for your 68-year-old client?
- A. a deferred annuity
- B. an S&P 500 Index mutual fund
- C. a Treasury Inflation Protected Security (TIPS)
- D. a high quality corporate bond fund
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Mr. Teche is an agent with broker-dealer CanDo, and his only compensation is the commissions he earns on trades he executes. He has applied for and been granted an adjunct teaching position with a local university that will allow him to earn money while he is establishing himself.
Which of the following statements are true?
- A. CanDo can deny Mr. Teche permission to accept the adjunct teaching position.
- B. Mr. Teche is, in essence, an independent contractor with broker-dealer CanDo and can engage in any other business activity at will.
- C. As an agent with broker-dealer CanDo, Mr. Teche must notify CanDo in writing of this position prior to accepting it.
- D. Both A and B are true.
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