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FINRA Series_63 Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Regulatory Provisions and Compliance | - Recordkeeping and administrative provisions - Enforcement actions and penalties - Ethical practices and fiduciary obligations |
| Registration Procedures and Requirements | - State notice filings and renewals - Registration process for agents and broker-dealers |
| State Securities Acts and Related Rules | - Definitions and terminology under Uniform Securities Act - Exempt securities and exempt transactions - Registration of securities, broker-dealers, agents, and investment advisers |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
A variable annuity is:
- A. a security and, therefore, has to be registered with the state before it can be offered for sale.
- B. not a security and, therefore, does not have to be registered with the state.
- C. a security, but is exempt from state registration.
- D. not a security, but is still required to be registered with the state before it can be offered for sale.
Correct Answer: C 🗳️
Explanation: Only visible for Test4Engine members. You can sign-up / login (it's free).
Which of the following orders can an Administrator issue without providing prior notice?
- A. cease and desist
- B. license suspension
- C. license denial
- D. license revocation
Correct Answer: A 🗳️
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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, III, and IV
- B. I and II only
- C. I, II, and III only
- D. I, II, and IV only
Correct Answer: D 🗳️
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Alice Wonder called her broker on Tuesday, August 10th, with a market order to buy 10 calls on the stock
of Abbott Laboratories. Under normal conditions, Alice will have to pay for the calls on
- A. Friday, August 13th.
- B. Tuesday, August 10th.
- C. Monday, August 16th.
- D. Wednesday, August 11th.
Correct Answer: D 🗳️
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Which of the following may an investment adviser not use in an attempt to solicit new clients?
- A. testimonials of satisfied clients
- B. a free financial planning kit, with no obligation on the part of the potential client
- C. a free initial consultation, with no obligation on the part of the potential client
- D. a complete list of the stocks they have recommended in the past year, even if a statement is included
that states that past performance is no guarantee of future performance
Correct Answer: A 🗳️
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