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FINRA Series_63 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Regulation of Investment Advisers and Representatives | - Investment Adviser Representatives
| |
| Topic 2: State Securities Acts and Related Rules | 60% | - Administrator Powers
|
| Topic 3: Regulation of Broker-Dealers and Agents | - Agent conduct and obligations
| |
| Topic 4: Ethical Practices and Fiduciary Obligations | 40% | - Ethics in securities business
|
FINRA Uniform Securities Agent State Law Examination Sample Questions:
Which of the following is not a method that can be used to register securities with the state?
- A. registration by qualification
- B. registration by notification
- C. registration by coordination
- D. registration by exception
Correct Answer: D 🗳️
Explanation: Only visible for Real4Prep members. You can sign-up / login (it's free).
Under the guidelines of the Bank Secrecy Act (BSA), the Treasury Department now requires
broker-dealers to obtain and keep certain information relating to clients that make or receive funds
transfers that involve
- A. $10,000 or more.
- B. $100,000 or more.
- C. $3,000 or more.
- D. $5,000 or more.
Correct Answer: C 🗳️
Explanation: Only visible for Real4Prep members. You can sign-up / login (it's free).
Kevin has a pair of season tickets to the Boston Red Sox games. He and his wife can't attend all the
games themselves, so Kevin has created "packages" of eight games each that he is listing for sale on
Craig's List. Do these "packages" meet the definition of securities, and, if so, does Kevin need to register
them with the state before offering them for sale?
- A. Statements A and B are both true statements.
- B. Only if Kevin will be selling the packages at or below cost are the packages not considered to be
securities, in which case Kevin will not have to register them with the state. - C. If Kevin will be profiting from the sale of the packages, the packages are defined to be securities, but
since he's selling the packages to only a few people, he will not have to register them with the state.
(Kevin may, however, be guilty of violating ticket scalping laws.) - D. The packages are not considered to be securities since each package is merely a purchase and sale
agreement between Kevin and another person. There is no third party involved. Because they do not
meet the definition of securities, Kevin does not need to register them with the state.
Correct Answer: D 🗳️
Explanation: Only visible for Real4Prep members. You can sign-up / login (it's free).
You are an agent with a broker-dealer and have learned of limited partnership interests being sold by a
small company that is planning to come out with a product that you think is going to "wow" the market.
You would like to get in on the action, but the minimum investment needed is $10,000, and you don't have
that kind of dough lying around. You talk to your brother, who is also one of your clients, and get him
interested in investing in the firm, too. The two of you decide to pull your money together, each putting in
$ 5,000, and you agree to split any profits or losses. Is this permitted?
- A. Yes, as long as your brother provides your firm with his written consent.
- B. No. Under no circumstances can an agent enter a joint investment with a client under the guidelines of
the Uniform Securities Act. - C. Yes. This is permitted since the agreement is between you and a family member.
- D. Maybe. But it will require written consent from both your brother and your firm.
Correct Answer: D 🗳️
Explanation: Only visible for Real4Prep members. You can sign-up / login (it's free).
"T + 3" refers to
- A. 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. - B. the form that is filled out and sent to the client confirming that the trade has been executed.
- C. the form, also known as a "trade ticket," that is filled out when an order is entered into the market.
- D. a procedure to minimize the potential for money laundering.
Correct Answer: A 🗳️
Explanation: Only visible for Real4Prep members. You can sign-up / login (it's free).
