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 |
|---|---|---|
| Regulations of Agents of Broker-Dealers | 13% | - Exemptions from registration - Definition and scope of activities - Registration procedures and Form U4 - Termination and notice requirements |
| Ethical Practices and Fiduciary Obligations | 40% | - Prohibited business practices - Anti-fraud provisions and misrepresentation - Conflicts of interest and compensation - Handling of customer funds and securities - Advertising and communication rules - Customer suitability and disclosure |
| Regulations of Securities and Issuers | 10% | - Definition of securities - Disclosure and anti-fraud requirements - Registration methods: coordination, qualification, filing - Exempt securities and exempt transactions |
| Regulations of Broker-Dealers | 12% | - Registration and post-registration requirements - Exclusions and exemptions from registration - Definition and legal status - Supervision and compliance obligations |
| Regulations of Investment Adviser Representatives | 5% | - Exclusions and exemptions - Registration and post-registration duties - Definition and activities requiring registration |
| Administrative Provisions and Remedies | 15% | - Judicial review and appeals - Investigations, subpoenas, and orders - Civil and criminal liabilities - Powers of state securities administrators |
| Regulations of Investment Advisers | 5% | - Registration and exemptions - Definition under Uniform Securities Act - Recordkeeping and reporting rules |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
Which of the following is not a prohibited practice for broker-dealers under the NASAA Model Rules?
- A. lending money to clients for them to invest
- B. borrowing money from a client
- C. charging commissions that are significantly higher than those charged by other broker-dealers
- D. providing a client with a copy of their most recent balance sheet upon request
Correct Answer: A 🗳️
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Broker-dealer Nebulous opted to withdraw its registration with the state. Six months later, the
Administrator finds that Nebulous had been engaged in fraudulent securities transactions. Which of the
following statements is true?
- A. The Administrator has five years from the discovery of the misdeed to take disciplinary action, so
Nebulous will have to be on the lookout for a long time to come. - B. The Administrator is unable to take disciplinary action against Nebulous because the self-initiated
withdrawal became effective 30 days after the application was filed. - C. The Administrator is only able to take disciplinary action if the misdeeds are discovered within three
months of the effective date of the withdrawal, so Nebulous slipped by this time. - D. The Administrator can take disciplinary action against Nebulous for up to one year, so Nebulous is in
trouble.
Correct Answer: D 🗳️
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Today's edition of the Wall Street Journal carried a front page story regarding a federal lawsuit that has
been filed against a software manufacturer for monopolistic practices. The CFO of the company called his
broker today and sold some of the shares he owns in the company. Which of the following statements are
true?
I. The CFO is guilty of illegal insider trading.
II. If the agent who effected the transaction for the CFO knew he was CFO of the software company, the
agent is guilty of illegal insider trading.
III. The broker-dealer for whom the agent works may have its license suspended or revoked if its agent
has knowingly executed this illegal insider trade for not having supervised the agent properly.
- A. I only
- B. I, II, and III
- C. I and II only
- D. None of the statements is true.
Correct Answer: D 🗳️
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If an issuer registers securities with the state, how long can the documentation supplied in the registration
statement for those securities be incorporated by reference only into a registration statement for future
securities the issuer wants to offer for sale?
- A. two years
- B. seven years
- C. one year
- D. five years
Correct Answer: D 🗳️
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The state official who has regulatory authority over the securities industry within the state is known as the
- A. attorney-general.
- B. investor-protection officer.
- C. secretary of state.
- D. administrator.
Correct Answer: D 🗳️
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