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 |
|---|---|---|
| Regulations of Agents of Broker-Dealers | 13% | - Termination and notice requirements - Definition and scope of activities - Registration procedures and Form U4 - Exemptions from registration |
| Regulations of Investment Adviser Representatives | 5% | - Exclusions and exemptions - Definition and activities requiring registration - Registration and post-registration duties |
| Regulations of Broker-Dealers | 12% | - Supervision and compliance obligations - Registration and post-registration requirements - Exclusions and exemptions from registration - Definition and legal status |
| Regulations of Securities and Issuers | 10% | - Registration methods: coordination, qualification, filing - Definition of securities - Exempt securities and exempt transactions - Disclosure and anti-fraud requirements |
| Ethical Practices and Fiduciary Obligations | 40% | - Prohibited business practices - Customer suitability and disclosure - Handling of customer funds and securities - Anti-fraud provisions and misrepresentation - Advertising and communication rules - Conflicts of interest and compensation |
| Regulations of Investment Advisers | 5% | - Definition under Uniform Securities Act - Registration and exemptions - Recordkeeping and reporting rules |
| Administrative Provisions and Remedies | 15% | - Civil and criminal liabilities - Judicial review and appeals - Investigations, subpoenas, and orders - Powers of state securities administrators |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
Which of the following describes a prohibited practice in the sale of shares of investment companies?
I. Sandy Slacker hands her client the fund's prospectus and tells him that the prospectus will provide him
all that he needs to know about loads and fees associated with the fund.
II. Elliot Eager tells a client who has an investment objective that includes current income that a certain
bond fund has a current yield of 8% and provides the client with a prospectus so that the client can peruse
the average annual returns that the fund has generated in past years when the client has the time.
III. After explaining all the fees and loads involved in two different bond funds as well as the difference
between current yield and total return, Patty shows the client the data on the average annual returns that
the two bond funds provided. She explains to the client that the municipal bond fund has a lower yield
than the similar-risk corporate bond fund because the interest income the client will receive from the
municipal bond fund will be free from federal taxation, while the interest income on the corporate bond
fund is fully taxable.
- A. I only
- B. I and III only
- C. I and II only
- D. All the choices describe prohibited practices in the sale of shares of investment companies.
Correct Answer: C 🗳️
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Which of the following does not necessarily have to be included in the contract between an investment
adviser and an individual client, according to the Uniform Securities Act (USA)?
- A. a statement of the investment policy that has been agreed upon between the adviser and the client
- B. a statement stipulating that the contract cannot be assigned to another party without the client's
consent - C. the compensation agreement, which cannot be a percentage of the capital gains or capital appreciation
earned on the portfolio for all but the wealthiest of individual clients. - D. if the investment adviser is a partnership, a statement indicating that the client will be notified if there is
any change in the partners within a reasonable time period
Correct Answer: A 🗳️
Explanation: Only visible for ActualVCE members. You can sign-up / login (it's free).
Which of the following entities would be required to register with the state as a broker-dealer under the
guidelines of the Uniform Securities Act (USA)?
- A. an agent who executes the purchase and sale of stocks and bonds for his clients
- B. None of the above entities would be required to register with the state as a broker-dealer under the
guidelines of the Uniform Securities Act. - C. a credit union that operates within the state and provides loans to its members
- D. an underwriter with no offices in the state that is helping a firm that is incorporated within the state with
the sale of its new bond issue to insurance companies
Correct Answer: B 🗳️
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Broker-Dealer Wheeler has no offices in the state. Wheeler does, however, sell corporate bonds from his
portfolio to banks and insurance companies located in the state that purchase the bonds for their
investment portfolios. He executes about twelve of these transactions a year. Wheeler profits from the
price appreciation of the bonds during the time he held them, but receives no other form of compensation.
Based on these facts,
- A. Wheeler need not register in the state, and the securities are also exempt from registration.
- B. Wheeler must register as a broker-dealer in the state, but the securities do not need to be registered.
- C. Wheeler must register as a broker-dealer in the state, and the securities must also be registered before
they can be sold to in-state investors. - D. Wheeler need not register in the state, but the securities must be registered before they can be sold to
in-state investors.
Correct Answer: A 🗳️
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Which of the following would not be found in a tombstone advertisement?
- A. the name of the issuer
- B. the names of the underwriters
- C. the interest rate and time to maturity of a bond issue
- D. the price at which the security will be offered
Correct Answer: D 🗳️
Explanation: Only visible for ActualVCE members. You can sign-up / login (it's free).
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