Exam Name: Uniform Securities Agent State Law Examination
Certification Provider: FINRA
Corresponding Certification: FINRA Certification
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FINRA Series_63 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Regulation of Investment Advisers and Representatives | - Investment Adviser registration
| |
| State Securities Acts and Related Rules | 60% | - Administrator Powers
|
| Ethical Practices and Fiduciary Obligations | 40% | - Ethics in securities business
|
| Regulation of Broker-Dealers and Agents | - Broker-Dealer definitions and requirements
|
FINRA Uniform Securities Agent State Law Examination Sample Questions:
Erin is a registered agent who works for SecureMoney Brokers-dealers. One of her clients, Mrs. McTurk,
is a recently-widowed woman who relies on Erin for advice about her investment portfolio. Mrs. McTurk
reminds Erin of her own grandmother, and she is happy to provide guidance within the sphere of her own
knowledge. Based on these facts, which of the following statements is true?
- A. Neither SecureMoney Broker-dealers nor Erin must register as an investment adviser based on the
facts provided. - B. Erin must register as an investment adviser since she is providing investment advice.
- C. SecureMoney Broker-dealers must register as an investment adviser since one of its employees is
providing investment advice, and Erin must register as an investment adviser representative as the firm's
employee. - D. SecureMoney Broker-dealers must register as an investment adviser since one of its employees is
providing investment advice.
Correct Answer: A 🗳️
Explanation: Only visible for ExamPrepAway members. You can sign-up / login (it's free).
The maximum monetary civil liability that a person who has violated a securities law can be expected to
pay is
- A. the original investment + a state-deemed appropriate interest rate + court costs and reasonable
attorneys' fees + any income the victim has received on the investment. - B. the original investment + a state-deemed appropriate interest rate + court costs and reasonable
attorneys' fees - any income the victim has received on the investment. - C. the original investment + a state-deemed appropriate interest rate + court costs and reasonable
attorneys' fees + any state-determined "pain and suffering" award - any income the victim has received on
the investment. - D. the original investment + a state-deemed appropriate interest rate + court costs and reasonable
attorneys' fees + any state-determined "pain and suffering" award.
Correct Answer: B 🗳️
Explanation: Only visible for ExamPrepAway members. You can sign-up / login (it's free).
The state of Massachusetts has issued a general obligation (G.O.) bond that pays 3% interest. As an
agent selling this bond, you can legitimately tell the investor that
- A. the interest income the investor receives from the bond will be free from federal taxation.
- B. all state general obligation bonds are also guaranteed by the federal government.
- C. all of the above statements are true.
- D. the bond is guaranteed by the state of Massachusetts and is, therefore, a risk-free investment.
Correct Answer: A 🗳️
Explanation: Only visible for ExamPrepAway members. You can sign-up / login (it's free).
Ms. Ding is an administrative assistant to the manager of a mutual fund. Most of her day is spent entering
data onto a spreadsheet for her boss and answering phone calls. Some of the calls require her to provide
information about the some of the fund's financial aspects, such as its closing net asset value on the
previous day. What type of registration does Ms. Ding require in order to perform her duties?
- A. Ms. Ding needs to apply for registration as an investment adviser representative since she is providing
information about a specific mutual fund. - B. Ms. Ding needs to apply for registration as an agent since she is providing financial information.
- C. Ms. Ding will need to apply for registration as both an agent and an investment adviser representative
in this case since she is providing information about a mutual fund. - D. Ms. Ding does not need to apply for any type of registration. She is merely supplying information and is
not engaged in the purchase or sale of the fund shares.
Correct Answer: D 🗳️
Explanation: Only visible for ExamPrepAway members. You can sign-up / login (it's free).
Which of the following is not in itself a reason for the Administrator to deny, suspend, or revoke the license
of a person?
- A. Some of the information supplied on the registration application was found to be false.
- B. The person is a broker-dealer whose agents have repeatedly been accused of churning and burning,
according to written client complaints. - C. The applicant has never before worked in the securities industry although he has received the requisite
training. - D. The person has been convicted of check kiting within the past ten years.
Correct Answer: C 🗳️
Explanation: Only visible for ExamPrepAway members. You can sign-up / login (it's free).
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