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FINRA Series_63 Actual Tests : Uniform Securities Agent State Law Examination
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FINRA Series_63 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Regulation of Investment Advisers and Representatives | - Investment Adviser registration
| |
| Topic 2: Regulation of Broker-Dealers and Agents | - Broker-Dealer definitions and requirements
| |
| Topic 3: Ethical Practices and Fiduciary Obligations | 40% | - Client-related rules
|
| Topic 4: State Securities Acts and Related Rules | 60% | - Administrator Powers
|
FINRA Uniform Securities Agent State Law Examination Sample Questions:
Needy Investment Advisers, LLC needs a loan. One of its wealthier clients has offered to lend the firm the
money at the prime rate of interest. A promissory note is drawn up stipulating the terms of the loan. Based
on these facts,
- A. Needy is in violation of securities laws by acting as an issuer of securities.
- B. Needy is not in danger of violating any securities laws since the loan was unsolicited and has been
properly executed via a promissory note. - C. Needy will be in violation of securities laws unless a waiver of compliance form is signed by the client
and submitted to the administrator. - D. Needy is in violation of securities laws only if the face value of the note is for $50,000 or more.
Correct Answer: A 🗳️
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Shady Corporation's executives are concerned over the firm's steadily declining stock price and decide to
do something about it. They each decide to make significantly large purchases of their firm's stock in
order to stabilize and hopefully even to drive up its price, reasoning that they can sell the stock for the
higher price down the road and profit from the transaction. You are a broker-dealer for the firm's
executives. Are Shady's executives planning to do anything illegal?
- A. Yes. To purchase shares of their own company is considered to be illegal insider trading.
- B. No. As long as they follow the rules and report their purchases to the SEC, it is not illegal for them to
purchase shares of their firm's stock. - C. Yes. Although it is not illegal for them to purchase shares of their firm's stock, they cannot do so in
order to try to manipulate the price of the stock. - D. No. It's a win-win. They are using their own money to buy stock of their firm, and this can help drive the
stock price up and put profits in their pockets.
Correct Answer: C 🗳️
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Jack is employed by NewCorp, which is engaging in an initial public offering (IPO). Jack will need to
register as a sales representative if he:
- A. represents NewCorp in any transactions with financial institutions.
- B. participates in the selling of the new stock to individual investors.
- C. Jack will need to register as a sales representative if he performs any one of the above activities.
- D. engages in transactions with the underwriters of the IPO for the purpose of taking the firm public.
Correct Answer: B 🗳️
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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. Both A and B are true.
- B. As an agent with broker-dealer CanDo, Mr. Teche must notify CanDo in writing of this position prior to
accepting it. - C. Mr. Teche is, in essence, an independent contractor with broker-dealer CanDo and can engage in any
other business activity at will. - D. CanDo can deny Mr. Teche permission to accept the adjunct teaching position.
Correct Answer: A 🗳️
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Which of the following trades is illegal?
- A. a margin transaction
- B. the sale of a mutual fund if the purchaser hasn't received a prospectus
- C. a market-not-held order
- D. a short sale
Correct Answer: B 🗳️
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