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FINRA Series_63 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Ethical Practices and Fiduciary Obligations | 40% | - Client-related rules
|
| Regulation of Broker-Dealers and Agents | - Agent conduct and obligations
| |
| Regulation of Investment Advisers and Representatives | - Investment Adviser registration
| |
| State Securities Acts and Related Rules | 60% | - Uniform Securities Act principles
|
FINRA Uniform Securities Agent State Law Examination Sample Questions:
Which of the following does not necessarily have to be included in the contract between an investment
adviser and an individual client, according to the Uniform Securities Act (USA)?
- A. if the investment adviser is a partnership, a statement indicating that the client will be notified if there is
any change in the partners within a reasonable time period - B. a statement stipulating that the contract cannot be assigned to another party without the client's
consent - C. a statement of the investment policy that has been agreed upon between the adviser and the client
- D. the compensation agreement, which cannot be a percentage of the capital gains or capital appreciation
earned on the portfolio for all but the wealthiest of individual clients.
Correct Answer: C 🗳️
Explanation: Only visible for PassCollection members. You can sign-up / login (it's free).
Ari Gaunt is employed by a small state-registered broker-dealer and has recently received notification that
his application to be a registered agent of the state has been accepted. Now that he is licensed to execute
transactions for the firm's clients, Ari has a batch of business cards printed up, with a picture of himself on
the right-hand side of the card. Underneath the picture is the caption, "State-Approved Agent." Will Ari be
violating any securities laws if he distributes these business cards?
- A. Yes. Agents are not permitted to include a picture of themselves on their business cards.
- B. No. His registration with the Administrator of the state has been accepted, so he is entitled to call
himself a "State-Approved Agent." - C. No. However, he may be violating company policy of the broker-dealer he works for by designing his
own cards. - D. Yes. It is a violation of a securities law to suggest that he has been approved by the state
Administrator.
Correct Answer: D 🗳️
Explanation: Only visible for PassCollection members. You can sign-up / login (it's free).
Once you have passed the Series 63 examination, which entity must then approve your application to sell
securities?
- A. FINRA
- B. SEC
- C. the state administrator
- D. NASAA
Correct Answer: C 🗳️
Explanation: Only visible for PassCollection members. You can sign-up / login (it's free).
Jack and Jill are a newly married couple in their mid-20s. They are determined to retire by the time they
are 50 and have arranged a meeting with a representative of Professional Investment Advisers to
structure a financial plan that will allow them to achieve this goal.
The representative, Mr. Hill, advises them to invest at least 60% of their money in bond funds to minimize
the risk of loss on the way to their goal. Mr. Hill has
- A. committed fraud in indicating that bonds are less risky than stocks.
- B. advised Jack and Jill well with a conservative allocation of their money to preserve principal.
- C. made an unsuitable recommendation for these clients and is subject to license suspension or
revocation. - D. has committed fraud in promoting their delusion that they can possibly expect to retire by the time they
turn 50, regardless of their investment strategy.
Correct Answer: C 🗳️
Explanation: Only visible for PassCollection members. You can sign-up / login (it's free).
According to the NASAA Model Rules, a broker-dealer is not permitted to allow a customer to engage in
margin transactions unless
- A. the broker-dealer receives a margin agreement signed by the client promptly after the client's first
margin transaction. - B. the broker-dealer already has a margin agreement signed by the client in hand.
- C. the client has been a customer of the firm for at least 6 months.
- D. the client has a net worth of at least $500,000.
Correct Answer: A 🗳️
Explanation: Only visible for PassCollection members. You can sign-up / login (it's free).
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