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FINRA Uniform Securities Agent State Law Examination : Series_63 Exam
About FINRA Uniform Securities Agent State Law Examination : Series_63 Exam
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FINRA Series_63 Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| State Securities Acts and Related Rules | - Registration of securities, broker-dealers, agents, and investment advisers - Exempt securities and exempt transactions - Definitions and terminology under Uniform Securities Act |
| Regulatory Provisions and Compliance | - Recordkeeping and administrative provisions - Enforcement actions and penalties - Ethical practices and fiduciary obligations |
| Registration Procedures and Requirements | - State notice filings and renewals - Registration process for agents and broker-dealers |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
Question #1
Which of the following scenarios does not meet the definition of "custody" under NASAA Model Rules?
- A. An investment adviser keeps a client's securities in its safety deposit box.
- B. An investment adviser is mistakenly sent a client's securities, but returns them to the sender within
three business days of receipt. - C. An investment adviser has general power of attorney for a client and is authorized to withdraw client
funds or securities that are on deposit with a registered broker-dealer upon the investment adviser's
request. - D. An investment adviser receives a check from a client that is written to a mutual fund and forwards the
check to the mutual fund within three business days of receipt.
Correct Answer: B 🗳️
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Question #2
As an agent, which of the following statements about the Securities Investor Protection Corporation (SIPC)
can you legitimately make to your client?
- A. The SIPC is the FDIC of the stock and bond markets."
- B. "The SIPC is a government agency that was created by an Act of Congress to protect investors against
losses in the stock and bond market." - C. "The SIPC is a government agency created by an Act of Congress to combat fraud."
- D. "The SIPC was established to restore funds to investors when the brokerage firm they have been using
is bankrupt or in financial distress."
Correct Answer: D 🗳️
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Question #3
An individual who represents a broker-dealer in the buying and selling of securities is called a(n):
- A. administrator
- B. issuer
- C. agent
- D. underwriter
Correct Answer: C 🗳️
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Question #4
Under the NASAA Model Rules, the statute of limitations for civil liabilities is
- A. the earlier of three years after the discovery of facts and five years after the violation.
- B. the earlier of two years after the discovery of facts and three years after the sale.
- C. the earlier of two years after the discovery of the facts and four years after the violation.
- D. three years after the discovery of the facts and four years after the violation, whichever is greater.
Correct Answer: B 🗳️
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Question #5
You are an investment adviser to Mr. Crochety, an elderly man who lives solely on his social security
income although he managed to accumulate an investment portfolio worth about $100,000 over the years.
Mr. Crochety recently got his hands on a business publication and read about the tax-free interest paid by
municipal bonds. He calls you and instructs you to sell his other investments and invest all his money in a
municipal bond portfolio, so that "the government doesn't get any more of my hard-earned money." You
tell Mr. Crochety that you don't believe this is a wise move because he's in such a low tax bracket that
municipal bonds are not a good investment for him, but he is insistent. Based on these facts, you should
- A. require Mr. Crochety to sign an affidavit of liability waiver, indicating that you will not be held responsible for any adverse consequences of this decision.
- B. call Mr. Crochety's relatives and suggest they have him examined for mental instability.
- C. ignore Mr. Crochety's instruction since it is not in his best interest.
- D. have Mr. Crochety sign a statement of investment policy that indicates that this transaction is being executed on the client's instructions and that you have advised the client against it.
Correct Answer: D 🗳️
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