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FINRA Series_63 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Regulation of Investment Advisers and Representatives | - Investment Adviser registration
| |
| State Securities Acts and Related Rules | 60% | - Uniform Securities Act principles
|
| Ethical Practices and Fiduciary Obligations | 40% | - Client-related rules
|
| Regulation of Broker-Dealers and Agents | - Agent conduct and obligations
|
FINRA Uniform Securities Agent State Law Examination Sample Questions:
Which of the following is an example of commingling?
- A. In order to generate more commissions for herself Ms. Fox makes trades on some of her client's
accounts and has the trade confirmations sent to a P.O box she owns. - B. All of the above are examples of commingling.
- C. Sly is an agent with a broker-dealer who recently executed a stock purchase for his client and had the
client make the check for the purchase out to Sly for deposit in Sly's broker-dealer account. - D. Mr. Hawk encourages his clients to leave their securities in "street name" with the broker-dealer for
which Mr. Hawk works.
Correct Answer: C 🗳️
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Which of the following statements regarding the registration of broker-dealers and investment advisers is
true?
- A. Investment advisers are required to register with both the state and the SEC, while broker-dealers may
be registered with only one or the other. - B. Investment advisers must always be registered with the SEC to conduct business; broker-dealers may
be registered with either an individual state or the SEC or both. - C. Investment advisers are required either to be registered with a state or with the SEC, while
broker-dealers must be registered both with the SEC and the state. - D. Both investment advisers and broker-dealers must be registered with the SEC and with the states in
which they have offices.
Correct Answer: C 🗳️
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What criminal penalties are specified for "willful violations" of the Uniform Securities Act?
- A. license suspension.
- B. up to 3 years in prison or a $5,000 fine, or both.
- C. up to 5 years in prison or a $10,000 fine, or both.
- D. license cancellation.
Correct Answer: B 🗳️
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Which of the following statements regarding an open-end investment company is not true?
- A. Its securities are federal covered.
- B. Its shares are bought and sold on exchange floors.
- C. Its shares are bought and sold through the company.
- D. Its shares may sell for either net asset value or greater than net asset value, but not below
Correct Answer: B 🗳️
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Constance is an investment adviser representative. She told one of her clients that he should put at least
1 5% of his investment monies in a U.S. government bond mutual fund.
She explained that she believed that he required this percentage to meet his liquidity needs, and U.S.
government bond funds are risk-free. A few months later, the client needed to sell some of his fund shares
in order to pay some medical bills and was surprised to discover that he lost money on the sale because
the net asset value of the fund had dropped. Was Constance guilty of any securities violations?
- A. Yes. Constance should never recommend that a client invest such a high percentage of his investment
monies in a U.S. government bond mutual fund. - B. It depends. If Constance realized that the client could lose money in a U.S. government bond fund,
then she is guilty of fraud, but if she did not herself realize that, then she is merely misinformed. - C. Yes. Constance is guilty of fraud. She misled the client into thinking he couldn't lose any money if he
invested the money in a U.S. government bond mutual fund. - D. No. U.S. government bonds are often referred to as risk-free investments, so Constance made no
misstatement of fact in telling her client this.
Correct Answer: C 🗳️
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