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 |
|---|---|---|
| Topic 1: Regulation of Broker-Dealers and Agents | - Agent conduct and obligations
| |
| Topic 2: Regulation of Investment Advisers and Representatives | - Investment Adviser registration
| |
| Topic 3: State Securities Acts and Related Rules | 60% | - Administrator Powers
|
| Topic 4: Ethical Practices and Fiduciary Obligations | 40% | - Ethics in securities business
|
FINRA Uniform Securities Agent State Law Examination Sample Questions:
A "market not held" order is
- A. a prohibited activity in which an agent engages in the purchase or sale of securities that are not offered
by his broker-dealer. - B. an order to sell securities that the investor owns if the stock decreases by a certain amount from the
current price. - C. an order in which the client tells the broker to use his own discretion in timing a purchase or sale in an
attempt to get a better price. - D. an order to buy or sell a stock at a specified price, which differs from the current market price.
Correct Answer: C 🗳️
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The trade confirmation must be received by the customer no later than
- A. five business days after the settlement date.
- B. the day after the trade takes place.
- C. one week after the settlement date.
- D. the settlement date.
Correct Answer: D 🗳️
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Which of the following describes an investment adviser that is not required to register with the state
Administrator?
- A. Buckeye Investment Advisers has no offices in the state, but it provides portfolio management services
to an insurance company located in the state. - B. Financial Freedom Investment Advisers has no offices in the state although it does advise six wealthy
individuals who are residents of the state. - C. MoeMoney Investment Advisers, LLC has an office in the state with a client base of fifty individuals.
- D. CanDo Broker-Dealers is a state-registered broker-dealer. It has begun to offer asset management
services to a few of its wealthier clients for a small management fee equal to 0.1% of the assets under
management.
Correct Answer: A 🗳️
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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. 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. - B. Statements A and B are both true statements.
- 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 🗳️
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Which of the following would be an unsuitable recommendation for your 68-year-old client?
- A. a deferred annuity
- B. a Treasury Inflation Protected Security (TIPS)
- C. an S&P 500 Index mutual fund
- D. a high quality corporate bond fund
Correct Answer: A 🗳️
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