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FINRA Series63 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Regulation of Investment Advisers | 5% | - Investment adviser registration rules - Federal vs state adviser regulation |
| Topic 2: Regulation of Investment Adviser Representatives | 5% | - IAR registration and obligations - Recordkeeping and contract standards |
| Topic 3: Communication with Customers and Prospects | 20% | - Advertising and correspondence rules - Disclosure requirements |
| Topic 4: Remedies and Administrative Provisions | 9% | - Enforcement and penalties - State Administrator authority |
| Topic 5: Regulation of Broker-Dealers | 12% | - Broker-dealer regulatory requirements - Federal and state registration standards |
| Topic 6: Regulations of Securities and Issuers | 9% | - Securities registration and exemptions - Issuer regulation principles |
| Topic 7: Regulation of Broker-Dealer Agents | 13% | - Associated person regulations - Agent registration requirements |
| Topic 8: Ethical Practices and Obligations | 25% | - Conflicts of interest and fiduciary duties - Fraudulent and unethical conduct |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
Which of the following securities would be exempt from state registration requirements, according to the Uniform Securities Act?
I. a municipal bond issued by the Canadian province of Nova Scotia
II. a bond issued by the county of Cork, Ireland
III. a bond issued by Nationwide Insurance Company
- A. Selection I and III only
- B. All of the selections would be exempt from state registration requirements under the Uniform
- C. Selection III only
- D. Selection I only
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Which of the following describes a prohibited practice in the sale of shares of investment companies?
I. Sandy Slacker hands her client the fund's prospectus and tells him that the prospectus will provide him all that he needs to know about loads and fees associated with the fund.
II. Elliot Eager tells a client who has an investment objective that includes current income that a certain bond fund has a current yield of 8% and provides the client with a prospectus so that the client can peruse the average annual returns that the fund has generated in past years when the client has the time.
III. After explaining all the fees and loads involved in two different bond funds as well as the difference between current yield and total return, Patty shows the client the data on the average annual returns that the two bond funds provided. She explains to the client that the municipal bond fund has a lower yield than the similar-risk corporate bond fund because the interest income the client will receive from the municipal bond fund will be free from federal taxation, while the interest income on the corporate bond fund is fully taxable.
- A. I and III only
- B. I only
- C. I and II only
- D. All the choices describe prohibited practices in the sale of shares of investment companies.
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Painting the tape refers to
- A. the unethical practice of investment advisers who issue "buy" recommendations for stocks that they own themselves without disclosing the fact.
- B. the prohibited practice of excessively trading on a client's account that is used by some broker-dealers and/or their agents to generate more commissions for themselves.
- C. the practice of buying large amounts of a security to drive its price up artificially.
- D. the illegal activity of a group of investors who buy and sell a security among themselves to create an artificially high volume of trading in hopes of luring investors to buy the security.
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A broker-dealer cannot legally be
- A. a sole-proprietorship.
- B. an individual.
- C. A broker-dealer can be any of the above.
- D. a partnership.
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Which of the following does not describe a prohibited practice for broker-dealers under the NASAA Model Rules?
I. SecureMoney Broker-Dealers has received a request from a client who wants SecureMoney to "identify a few solid firms in the Asian market and invest up to $20,000 in them." SecureMoney executes the purchases and receives the requisite signed discretionary authorization from the client before the settlement date.
II. CanDo Broker-Dealers executes a margin transaction for a client, promptly receiving a signed, written margin agreement from the client after the transaction takes place.
III. GetErDone Broker-Dealers receives a call from a client who wants to purchase some securities on margin.
GetErDone has the client come into the office to sign a properly executed margin agreement prior to effecting the transaction.
- A. I and III only
- B. III only
- C. II and III only
- D. None of the selections are prohibited practices.
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