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FINRA Series63 Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Topic 1: Administrative Provisions and Enforcement | - State enforcement powers and penalties - Recordkeeping and reporting requirements |
| Topic 2: Regulation of Investment Advisers and Agents | - Broker-dealer regulation and supervision - Registration requirements for agents |
| Topic 3: Ethical Practices and Fiduciary Responsibilities | - Disclosure obligations and client protection - Prohibited practices and fraud prevention |
| Topic 4: State Securities Acts and Regulations | - Uniform Securities Act (USA) framework - Registration of securities and exemptions |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
Switch Advisory is a small investment adviser partnership registered in a single state. A larger investment adviser firm, Bait Investment Adviser, is registered in the same state as well as two other states. Bait has offered to buy out three of Switch's partners who want to retire. This will give Bait a 60% ownership in Switch Advisory.
Which of the following statements are true?
I. Switch Advisory must obtain the approval of its clients before the partners can sell their interests to Bait.
II. Switch Advisory must notify the state Administrator of this event.
III. Switch Advisory must notify their clients of this event, but does not need the clients' approval.
IV. Switch Advisory must notify the SEC of this event.
- A. I only
- B. I, II, and IV only
- C. II, III, and IV only
- D. I and II only
Correct Answer: D 🗳️
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Under which of the following scenarios can a client legitimately sue a purported professional in the securities industry and expect an award for damages?
I. The securities were sold by an agent whose registration was not yet effective with the state, but who had already applied for registration.
II. The security was a variable annuity, and the sales representative neglected to reveal the details of the surrender clause to the client.
III. The security was the stock of a company, the stock had recently been registered with the state for sale, had been granted registration, and the selling agent had told his client that the security had been state-approved for sale.
- A. I only
- B. II and III only
- C. I and III only
- D. I, II, and III
Correct Answer: D 🗳️
Explanation: Only visible for Exam-Killer members. You can sign-up / login (it's free).
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. The investment adviser will receive 0.1% of the gross capital gains earned on the portfolio each quarter.
- B. The client agrees to pay the investment adviser an hourly fee of $60.00.
- C. All of the above are legitimate compensation arrangements between and investment adviser and an individual client with a net worth of $600,000.
- D. 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.
Correct Answer: A 🗳️
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Which of the following statements best explains the difference between an agent and a broker-dealer?
- A. Agents are engaged exclusively in the purchase and sale of stocks whereas broker-dealers also buy and sell bonds and option contracts.
- B. Agents conduct their business exclusively in the secondary market, while broker-dealers also operate in the primary market.
- C. An agent is an individual who represents a broker-dealer or an issuer and buys and sells securities he does not own in return for a commission on the transactions he executes. A broker-dealer may also buy and sell securities for his own portfolio, in which case the broker-dealer enjoys any price appreciation on those securities.
- D. A broker-dealer must be licensed in the state in which he conducts business, but there are no separate licensing requirements for agents.
Correct Answer: C 🗳️
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Which of the following is a security as defined by the Uniform Securities Act (USA)?
- A. a debenture
- B. Both A and B are securities as defined by the Uniform Securities Act.
- C. a futures option contract on wheat
- D. a term life insurance policy
Correct Answer: B 🗳️
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