Uniform Securities Agent State Law Examination: Series63 Exam
"Uniform Securities Agent State Law Examination", also known as Series63 exam, is a FINRA Certification. With the complete collection of questions and answers, PrepAwayPDF has assembled to take you through 251 Q&As to your Series63 Exam preparation. In the Series63 exam resources, you will cover every field and category in Uniform Securities State Law Certification helping to ready you for your successful FINRA Certification.
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FINRA Series63 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Regulations of Securities and Issuers | 9% | - Issuer regulation principles - Securities registration and exemptions |
| Topic 2: Ethical Practices and Obligations | 25% | - Conflicts of interest and fiduciary duties - Fraudulent and unethical conduct |
| Topic 3: Regulation of Investment Advisers | 5% | - Investment adviser registration rules - Federal vs state adviser regulation |
| Topic 4: Regulation of Broker-Dealers | 12% | - Federal and state registration standards - Broker-dealer regulatory requirements |
| Topic 5: Remedies and Administrative Provisions | 9% | - State Administrator authority - Enforcement and penalties |
| Topic 6: Regulation of Investment Adviser Representatives | 5% | - IAR registration and obligations - Recordkeeping and contract standards |
| Topic 7: Communication with Customers and Prospects | 20% | - Advertising and correspondence rules - Disclosure requirements |
| Topic 8: Regulation of Broker-Dealer Agents | 13% | - Associated person regulations - Agent registration requirements |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
Which of the following compensation arrangements between an investment adviser and an individual client with a net worth of $600,000 would be disallowed?
- A. All of the above are legitimate compensation arrangements between and investment adviser and an individual client with a net worth of $600,000.
- B. The investment adviser will receive 0.1% of the total value of the client's assets under management as of the end of each month.
- C. The investment adviser will receive 0.1% of the gross capital gains earned on the portfolio each quarter.
- D. The client agrees to pay the investment adviser an hourly fee of $60.00.
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You had the misfortune of working as a registered agent for an unscrupulous broker-dealer. You weren't privy to any of it, but apparently, your broker-dealer was guilty of some fraudulent activities and has had his license revoked. In this instance,
- A. you can simply find another broker-dealer to hire you and have your license transferred to him.
- B. you must wait until the broker-dealer's day in court before you can work in the securities industry again because the Administrator will want to be certain that you knew nothing of it.
- C. you are no longer a licensed agent with the state and must reapply for a license in order to work for another broker-dealer.
- D. the state Administrator will assign you and any other affected agents to work for other broker-dealers registered with the state.
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Until yesterday Maddie was a registered agent employed by the broker-dealer, QuikDeals. Yesterday afternoon, issues that had been brewing between her and another employee of the firm came to a head, and Maddie impulsively quit her job.
At this point,
- A. Maddie has thirty days to find a job with another broker-dealer, or she will need to file a new registration application.
- B. Maddie has sixty days to find a job with another broker-dealer, or she will need to file a new registration application.
- C. Maddie will have to file a new application for registration with the Administrator upon finding employment with another broker-dealer since she is no longer considered to be a registered agent by the state.
- D. Maddie is required to call all of her clients at QuikDeals to inform them she is no longer employed there.
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The state official who has regulatory authority over the securities industry within the state is known as the
- A. administrator.
- B. investor-protection officer.
- C. secretary of state.
- D. attorney-general.
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Desi Genuos is an agent with Broker-Dealer CanDo. A client has asked Desi to recommend a mutual fund that does not have a sales charge. Desi recommends a fund that has no front-end load although it does have a deferred sales load if the investor redeems his shares within the first three years of ownership, but the client has informed Desi that he is looking at this as a long-term investment. Based on these facts, Desi
- A. will not be in violation of any NASAA rules as long as he has his client sign a "letter of intent."
- B. is not in violation of any rules because he is an agent of a broker-dealer and is not affiliated with the fund he has recommended in any manner.
- C. is not in violation of any rules since the fund has no front-end load and the deferred sales load will not apply to this client, given his indication that this is meant to be a long-term investment.
- D. is in violation of NASAA rules regarding investment company shares.
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