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FINRA Series_63 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Regulation of Investment Advisers and Representatives | - Investment Adviser registration
| |
| Ethical Practices and Fiduciary Obligations | 40% | - Client-related rules
|
| State Securities Acts and Related Rules | 60% | - Uniform Securities Act principles
|
| Regulation of Broker-Dealers and Agents | - Agent conduct and obligations
|
FINRA Uniform Securities Agent State Law Examination Sample Questions:
Ken Con is an agent with Blue Sky Broker-Dealers. He gets up early each morning so that he can study
any late-breaking news that may affect the markets and figure out ways to incorporate this news into
conversations with select clients in order to pressure them to restructure their portfolios by selling
holdings they have in one particular industry to invest the money in another particular industry. Ken has
been very successful with this strategy and executes more trades for his clients than any other agent with
the firm, but is he in danger of losing his license?
- A. No. Ken is just a successful sales person who is working harder than the other agents in the firm.
- B. Yes. Ken is engaging in churning, a prohibited practice and can have his license revoked or
suspended. - C. Yes. Ken is guilty of the prohibited practice of "tailgating."
- D. It depends. If his clients have lost money, Ken may lose his license; but if a review indicates that his
clients' accounts earn profits, then his license is safe.
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Which of the following would fall under the definition of "agent," as defined by the Uniform Securities Act
(USA)?
- A. Joe works as an administrative assistant for broker-dealer GetErDone, doing data entry, filing client
forms that contain confidential information, and directing calls to registered representatives of the firm. - B. TrustUs Bank has a subsidiary operation that sells mutual funds to the public.
- C. None of the above would fall under the definition of "agent," as defined by the Uniform Securities Act
(USA.) - D. Freedom broker-dealers executes the purchase and sale of securities for its customers.
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Which of the following would meet the requirements for an "exempt security?"
- A. a $25,000 promissory note that matures in three months
- B. commercial paper with a $100,000 face value and a maturity of five months that is rated AA by
Standard and Poors - C. commercial paper with a $200,000 face value and a maturity of three months that is rated BB by
Standard and Poors - D. a $500,000 promissory note that matures in two years
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Mr. L. Ranger is an agent for a broker-dealer and has overheard "talk" that a merger between two
well-known high-tech companies is about to take place. Mr. Ranger knows that, on average, in these
instances the target firm's price spikes. He calls his client and good friend, Mr. Tonto, and tells him of the
rumor, suggesting that Tonto might want to buy shares in the target firm. He tells Mr. Tonto that if the
rumor isn't true, the target firm's price may not spike at all and may, in fact, decline, and suggests that Mr.
Tonto not invest any money he isn't willing to lose. Mr. Ranger knows that his friend likes to gamble, and
decided he wouldn't be much of a friend if he didn't inform Tonto of this potential opportunity. Has Mr. L.
Ranger violated any laws or engaged in any prohibited practices?
- A. Yes. Mr. Ranger has engaged in fraud in telling Mr. Tonto about the rumor, given that the merger hasn't
been officially announced by the two companies. - B. No. Mr. Ranger and Mr. Tonto are friends, so there can be no violations of any laws or practices
because of their non-business relationship. - C. Yes. Mr. Ranger is privy to knowledge that is not available to the general public and both he and Mr.
Tonto will be guilty of illegal insider trading if Mr. Tonto trades on Mr. Ranger's information. - D. No. Mr. Ranger has informed Mr. Tonto that the merger is just a rumor and has informed him of the risk
involved. Mr. Ranger is knowledgeable about his friend's risk tolerance level as well and recognizes this
investment as one his good friend might want to take.
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The Uniform Securities Act (USA) is
- A. a body of laws governing the purchase and sale of securities within a single state.
- B. a set of guidelines for individual states to follow when formulating their own securities' laws.
- C. federal legislation that requires all states to adopt the same registration requirements for all
- D. a group of laws requiring state-issued securities, such as municipal bonds, to be registered with
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