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FINRA Series63 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Prohibited Practices and Ethical Obligations | 20% | - Administrative remedies and enforcement - Disclosure and fair dealing - Fraudulent and unethical business conduct |
| Topic 2: Regulations of Agents and Broker-Dealers | 25% | - Registration requirements and exemptions - Recordkeeping and reporting obligations - Supervision and compliance responsibilities |
| Topic 3: Regulations of Investment Advisers and Representatives | 15% | - Advertising and recordkeeping rules - Registration and exclusions - Fiduciary duties and disclosure requirements |
| Topic 4: State Securities Acts and Related Rules & Regulations | 40% | - Regulation of broker-dealers and agents - Definitions and jurisdiction - Regulation of investment advisers and representatives - Registration of securities and exemptions |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
No: 93
The net worth of a broker-dealer has fallen below the minimum net capital requirement specified by the state in which the broker-dealer is registered. This broker-dealer must notify the Administrator of this fact
- A. before the end of the month.
- B. by the close of business on the next business day.
- C. before the beginning of the next quarter.
- D. within a week's time.
Correct Answer: B 🗳️
Explanation: Only visible for TestValid members. You can sign-up / login (it's free).
Assuming there is not a stop order or a proceeding pending, under the registration by coordination process a security's registration with the state becomes effective:
- A. only when it is approved by the state Administrator, regardless of whether it has been approved by the SEC.
- B. immediately subsequent to approval by the SEC, regardless of how long the registration statement has been on file.
- C. immediately after approval by the SEC as long as the registration statement has been on file for at least
20 days or the Uniform Securities Act has provided an exemption to this waiting period. - D. only when it is approved by the state Administrator, who will review the registration documentation upon notification that SEC approval has been granted.
Correct Answer: C 🗳️
Explanation: Only visible for TestValid members. You can sign-up / login (it's free).
Which of the following is not a method that can be used to register securities with the state?
- A. registration by coordination
- B. registration by qualification
- C. registration by notification
- D. registration by exception
Correct Answer: D 🗳️
Explanation: Only visible for TestValid members. You can sign-up / login (it's free).
A broker-dealer cannot legally be
- A. A broker-dealer can be any of the above.
- B. a partnership.
- C. an individual.
- D. a sole-proprietorship.
Correct Answer: A 🗳️
Explanation: Only visible for TestValid members. You can sign-up / login (it's free).
Which of the following entities is subject to be accused of churning?
I. investment advisers
II. investment adviser representatives
III. broker-dealers
IV. agents
- A. II, III, and IV only
- B. I and III only
- C. II and IV only
- D. I, II, III, and IV
Correct Answer: D 🗳️
Explanation: Only visible for TestValid members. You can sign-up / login (it's free).
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