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FINRA Series_63 Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Topic 1: Registration Procedures and Requirements | - Registration process for agents and broker-dealers - State notice filings and renewals |
| Topic 2: State Securities Acts and Related Rules | - Registration of securities, broker-dealers, agents, and investment advisers - Exempt securities and exempt transactions - Definitions and terminology under Uniform Securities Act |
| Topic 3: Regulatory Provisions and Compliance | - Enforcement actions and penalties - Ethical practices and fiduciary obligations - Recordkeeping and administrative provisions |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
In which of the following instances is it permissible for an investment adviser to borrow money from a
client?
- A. It is never permissible for an investment adviser to borrow money from a client.
- B. The investment adviser may borrow money from a client if the client is a bank.
- C. The investment adviser may borrow money in either of the scenarios described in B or C.
- D. The investment adviser may borrow money from a client if the client is a close friend of the majority
owner of the investment advisory firm.
Correct Answer: B 🗳️
Explanation: Only visible for Dumps4PDF members. You can sign-up / login (it's free).
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
Correct Answer: C 🗳️
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Which of the following persons falls under the definition of "broker-dealer," as defined by the Uniform
Securities Act (USA)?
- A. Marge is a loan officer at Treadwater Bank and Trust.
- B. MyTrades is a sole proprietorship owned by Nathan Newmoney, who has established the firm solely to
make trades on his own account, thereby avoiding the commissions he would have to pay a middleman. - C. Michaela is employed by GetErDone broker-dealers and sells both exempt and non-exempt securities
to GetErDone's clients. - D. Juan is employed by TrustUs Corporation to sell shares of the firm's stock to the firm's employees and
receives a commission on the shares he sells.
Correct Answer: B 🗳️
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Under the 2002 Uniform Securities Act, registration by coordination allows:
- A. issuers of federal covered securities to submit only a notice filing with the Administrator of states in
which the securities will be offered for sale. - B. federal covered securities to be registered simultaneously with the SEC and with the states in which
the securities will be offered for sale. - C. both state-registered and out-of-state investment bankers to participate in the underwriting and
registration of a new security issue. - D. securities that do not fall within the category of federal covered securities to be registered
simultaneously with the SEC and with the states in which the securities will be offered for sale.
Correct Answer: D 🗳️
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A broker-dealer will be found guilty of churning an account if the account has a turnover ratio of
- A. five.
- B. four.
- C. eight.
- D. There is no specified turnover ratio assigned to the prohibited practice of churning.
Correct Answer: D 🗳️
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