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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: Regulation of Broker-Dealers and Agents | - Broker-Dealer definitions and requirements
| |
| Topic 3: State Securities Acts and Related Rules | 60% | - Uniform Securities Act principles
|
| Topic 4: Regulation of Investment Advisers and Representatives | - Investment Adviser registration
|
FINRA Uniform Securities Agent State Law Examination Sample Questions:
MoeMoney Investment Advisers, LLC is registered in the state of Texas, and its three offices are all
located in the greater Dallas-Fort Worth area. Five of its clients-all individuals-have relocated to Colorado
and all have indicated a desire to retain the services of MoeMoney. In order for this to be possible,
- A. Neither MoeMoney nor its clients need do anything.
- B. MoeMoney will need to apply for and be granted registration as an investment adviser representative in the state of Colorado.
- C. MoeMoney will need to apply for and be granted registration as an investment adviser in the state of Colorado.
- D. each client will have to write a letter to the Administrator of the state of Colorado on MoeMoney's behalf.
Correct Answer: A 🗳️
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 after approval by the SEC as long as the registration statement has been on file for at least
2 0 days or the Uniform Securities Act has provided an exemption to this waiting period. - C. only when it is approved by the state Administrator, who will review the registration documentation
upon notification that SEC approval has been granted. - D. immediately subsequent to approval by the SEC, regardless of how long the registration statement has
been on file.
Correct Answer: B 🗳️
Explanation: Only visible for PassExamDumps members. You can sign-up / login (it's free).
Once a person has filed an application with the Administrator, and in doing so has truthfully disclosed
every material fact, how long does the Administrator have after the effective date of the registration to
commence a proceeding to deny, suspend, or revoke that person's license based on those facts?
- A. one year.
- B. 90 days.
- C. 60 days.
- D. 30 days.
Correct Answer: B 🗳️
Explanation: Only visible for PassExamDumps members. You can sign-up / login (it's free).
The C&S Railroad is in the process of issuing new bonds. Before these bonds can be offered for sale,
- A. they must be registered with the SEC since railroads are involved in interstate commerce.
- B. they must be registered in every state in which the bonds will be sold to investors.
- C. they must be registered with the SEC and in each state through which the railroad passes.
- D. None of the above statements is true.
Correct Answer: D 🗳️
Explanation: Only visible for PassExamDumps members. You can sign-up / login (it's free).
Needy Investment Advisers, LLC needs a loan. One of its wealthier clients has offered to lend the firm the
money at the prime rate of interest. A promissory note is drawn up stipulating the terms of the loan. Based
on these facts,
- A. Needy is in violation of securities laws by acting as an issuer of securities.
- B. Needy is in violation of securities laws only if the face value of the note is for $50,000 or more.
- C. Needy is not in danger of violating any securities laws since the loan was unsolicited and has been
properly executed via a promissory note. - D. Needy will be in violation of securities laws unless a waiver of compliance form is signed by the client
and submitted to the administrator.
Correct Answer: A 🗳️
Explanation: Only visible for PassExamDumps members. You can sign-up / login (it's free).
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