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FINRA Series63 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Regulation of Investment Adviser Representatives | 5% | - Recordkeeping and contract standards - IAR registration and obligations |
| Topic 2: Communication with Customers and Prospects | 20% | - Advertising and correspondence rules - Disclosure requirements |
| Topic 3: Regulation of Broker-Dealer Agents | 13% | - Associated person regulations - Agent registration requirements |
| Topic 4: Regulations of Securities and Issuers | 9% | - Issuer regulation principles - Securities registration and exemptions |
| Topic 5: Regulation of Investment Advisers | 5% | - Investment adviser registration rules - Federal vs state adviser regulation |
| Topic 6: Remedies and Administrative Provisions | 9% | - Enforcement and penalties - State Administrator authority |
| Topic 7: Regulation of Broker-Dealers | 12% | - Federal and state registration standards - Broker-dealer regulatory requirements |
| Topic 8: Ethical Practices and Obligations | 25% | - Fraudulent and unethical conduct - Conflicts of interest and fiduciary duties |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
"T + 3" refers to
- A. the form, also known as a "trade ticket," that is filled out when an order is entered into the market.
- B. a procedure to minimize the potential for money laundering.
- C. the form that is filled out and sent to the client confirming that the trade has been executed.
- D. the fact that the settlement date will be three business days after the trade date, which is the "regular way settlement" for transactions involving stocks and corporate and municipal bonds.
Correct Answer: D π³οΈ
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Investment Adviser Foo Lish, LLC has begun serving as a custodian of its clients' assets. Foo Lish, LLC must now
I. file a new U-5 form with the Administrator.
II. meet higher net capital requirements than before.
III. file an updated Form ADV with the Administrator.
IV. pay a CPA to do an annual unannounced audit of the firm.
- A. I, II, III, and IV
- B. II and III only
- C. I and II only
- D. II, III, and IV only
Correct Answer: D π³οΈ
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A limited power-of-attorney gives the designated person the right to
I. order the sale of an asset owned by the account holder and have a check written to the account holder for the amount of the proceeds.
II. obtain account statements, including tax statements, on behalf of the account holder.
III. order the purchase of an asset for the account holder's account.
- A. II and III only
- B. I and II only
- C. I and III only
- D. I, II, and III
Correct Answer: A π³οΈ
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Mr. and Mrs. Cleaver are nearing retirement and have made an appointment with Mr. Eddie, an investment adviser representative who works for Haskell Investment Advisers, to get advice on how they can better structure their investments to meet their retirement goals. Their son, Theodore, who has recently graduated college and has a great job as a software writer for a video game company, accompanies them. Mr. Eddie explains that the main goal of any plan is diversification and recommends that Mr. and Mrs. Cleaver spread their investment monies equally among six load mutual funds that Mr. Eddie can sell them. He suggests that Theodore follow suit and invest any monies he has equally among the same ten funds.
Has Mr. Eddie done anything wrong?
- A. Yes. Mr. Eddie has advised his clients to invest in load funds when no load funds are clearly better investments.
- B. Yes. Mr. Eddie is guilty of misappropriation, a prohibited practice.
- C. Yes. Clients who are ready to retire have different investment needs than a client who is just entering the work force. The recommendation that both Theodore and his parents have the same asset allocation is clearly unsuitable.
- D. No. Diversification should, in fact, be the goal, and he has advised a well-diversified plan for his clients.
Correct Answer: C π³οΈ
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Mr. Teche is an agent with broker-dealer CanDo, and his only compensation is the commissions he earns on trades he executes. He has applied for and been granted an adjunct teaching position with a local university that will allow him to earn money while he is establishing himself.
Which of the following statements are true?
- A. CanDo can deny Mr. Teche permission to accept the adjunct teaching position.
- B. As an agent with broker-dealer CanDo, Mr. Teche must notify CanDo in writing of this position prior to accepting it.
- C. Both A and B are true.
- D. Mr. Teche is, in essence, an independent contractor with broker-dealer CanDo and can engage in any other business activity at will.
Correct Answer: C π³οΈ
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