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FINRA Series_63 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Ethical Practices and Fiduciary Obligations | 40% | - Ethics in securities business
|
| Topic 2: State Securities Acts and Related Rules | 60% | - Administrator Powers
|
| Topic 3: Regulation of Broker-Dealers and Agents | - Broker-Dealer definitions and requirements
| |
| Topic 4: Regulation of Investment Advisers and Representatives | - Investment Adviser registration
|
FINRA Uniform Securities Agent State Law Examination Sample Questions:
Although an Administrator has broad powers, he or she cannot:
- A. gather evidence.
- B. deliver a judicial injunction.
- C. issue subpoenas involving compulsory attendance.
- D. formulate rules and orders.
Correct Answer: B 🗳️
Explanation: Only visible for RealValidExam members. You can sign-up / login (it's free).
Mr. Bigwig, CEO of HiGrowth Corporation, meets with the president of BigFee Investment Bankers and
arranges for BigFee to underwrite an Initial Public Offering (IPO) for the firm. When the IPO comes to
market, GetErDone Broker-Dealers is part of the selling group, which handles the sale of the stock to the
public. In this scenario, which party is the issuer?
- A. Mr. Bigwig
- B. HiGrowth Corporation
- C. GetErDone Broker-Dealers
- D. BigFee Investment Bankers
Correct Answer: B 🗳️
Explanation: Only visible for RealValidExam members. You can sign-up / login (it's free).
When selling shares of an investment company to a client, an agent must provide the client with
I. the fund's prospectus, which provides information on any loads or other fees as well as historical return
information.
II. information about any breakpoints if it is a load fund along with an explanation of a letter of intent
III. information regarding the investment adviser used by the fund
IV. an explanation of the various loads and fees outlined in the fund's prospectus
- A. I, II, and IV only
- B. I, II, III, and IV
- C. I and II only
- D. I, II, and III only
Correct Answer: A 🗳️
Explanation: Only visible for RealValidExam members. You can sign-up / login (it's free).
Under the 2002 Uniform Securities Act, registration by coordination allows:
- A. issuers of federal covered securities to submit only a notice filing with the Administrator of states in
which the securities will be offered for sale. - B. securities that do not fall within the category of federal covered securities to be registered
simultaneously with the SEC and with the states in which the securities will be offered for sale. - C. both state-registered and out-of-state investment bankers to participate in the underwriting and
registration of a new security issue. - D. federal covered securities to be registered simultaneously with the SEC and with the states in which
the securities will be offered for sale.
Correct Answer: B 🗳️
Explanation: Only visible for RealValidExam members. You can sign-up / login (it's free).
Your next-door neighbor's brother works for a large pharmaceutical company and confided in her that one
of the company's chemists has just discovered a compound that will cure baldness and that the firm plans
to make the discovery public later in the week. Your next-door neighbor passes this information on to you
over a cup of coffee the next morning. You immediately call your broker and place an order to buy shares
of the company's stock. Has any illegal insider trading taken place?
- A. Yes. You, your neighbor, and her brother are all guilty of illegal insider trading.
- B. Yes. The agent who executes your purchase order has engaged in illegal insider trading.
- C. Yes. You are guilty of illegal insider trading because you traded on information that had not yet been
made publicly available. - D. No. You are in no way related to your next-door neighbor's brother, and she could have been lying.
Correct Answer: C 🗳️
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