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FINRA Series_63 Exam Syllabus Topics:

Section	Weight	Objectives
Topic 1: State Securities Acts and Related Rules	60%	- Administrator Powers 1. Rulemaking and investigations 2. Cease and desist orders and enforcement - Uniform Securities Act principles 1. State jurisdiction and definitions 2. Registration of securities and exemptions
Topic 2: Regulation of Broker-Dealers and Agents		- Broker-Dealer definitions and requirements 1. BD registration criteria 2. Agent registration criteria - Agent conduct and obligations 1. Customer communications 2. Compensation and transaction rules
Topic 3: Regulation of Investment Advisers and Representatives		- Investment Adviser Representatives 1. Post-registration obligations 2. IAR registration requirements - Investment Adviser registration 1. De minimis exemption 2. State vs federal covered advisers
Topic 4: Ethical Practices and Fiduciary Obligations	40%	- Client-related rules 1. Client funds and securities handling 2. Disclosure and suitability principles - Ethics in securities business 1. Fiduciary duties and conflicts of interest 2. Anti-fraud provisions

FINRA Uniform Securities Agent State Law Examination Sample Questions:

Question #1

To say a security is "exempt," means that
I. it is exempt from the state's anti-fraud laws.
II. it is exempt from state registration requirements.
III. any transaction involving it is considered to be an exempt transaction.

A. I, II, and III
B. I and II only
C. II only
D. II and III only

Reveal Solution Discussion 0

Correct Answer: C 🗳️