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FINRA Series_63 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Regulation of Investment Advisers and Representatives | - Investment Adviser registration
| |
| Topic 2: Regulation of Broker-Dealers and Agents | - Broker-Dealer definitions and requirements
| |
| Topic 3: State Securities Acts and Related Rules | 60% | - Uniform Securities Act principles
|
| Topic 4: Ethical Practices and Fiduciary Obligations | 40% | - Client-related rules
|
FINRA Uniform Securities Agent State Law Examination Sample Questions:
Once a broker-dealer has applied for and been granted state registration, the registration remains valid
- A. until December 31st.
- B. for twelve months.
- C. for five years.
- D. for three years.
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A "notice filing" refers to
- A. the filing by a federal covered investment adviser of forms already filed with the SEC along with a
consent to service of process with the state Administrator. - B. a document that the issuer must file with the SEC informing the SEC that the firm has applied to the
state for registration of its new security. - C. the right of an issuer to run tombstone ads in the newspapers and other publications upon filing a
registration application with the state Administrator. - D. notification to the public by the issuer or its underwriters that the issue is being sold on an "all or
nothing" basis.
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Which of the following is not a prohibited practice for a broker-dealer?
- A. requiring that a client who is engaged in margin transactions leave the securities with the broker-dealer
in "street name" - B. recommending a security to a new client without first ascertaining that client's level of risk tolerance
- C. executing a trade for an account holder based on instructions from the account holder's spouse
- D. waiting 36 hours before mailing a check after receiving a request for a cash withdrawal from a client if
the client has that much cash available in his account
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Which of the following securities would not necessarily be exempt from state registration?
- A. a stock listed as a NASDAQ National Market Issue.
- B. a bond issued by another state's employees' credit union
- C. a bond guaranteed by the Canadian government
- D. a stock listed on the Tokyo Stock Exchange
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Noah Scruples, an agent with CanDo Broker-Dealers, just got a copy of the most recent report on a
certain stock. The report was generated by CanDo's analyst department and is hot off the presses. It has
not yet even been put on the firm's website for the firm's clients.
The analyst department has just changed its recommendation on the stock from "Hold" to "Strong Buy"
based on new information that it has obtained on the company. Can Noah
rush to his office to buy shares of the stock before the analysts release their reports to CanDo's clients?
- A. No. This is a prohibited activity referred to as "painting the tape."
- B. Yes. The firm's analysts used publicly available information to assess the stock and make its
recommendation, so Noah can buy the stock now on his own account. - C. No. It is unethical for him to trade based on this information before the firm's clients have received the
information. - D. Both B and C are true statements.
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