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FINRA Series63 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Regulation of Broker-Dealer Agents | 13% | - Agent registration requirements - Associated person regulations |
| Topic 2: Regulations of Securities and Issuers | 9% | - Securities registration and exemptions - Issuer regulation principles |
| Topic 3: Regulation of Investment Adviser Representatives | 5% | - Recordkeeping and contract standards - IAR registration and obligations |
| Topic 4: Ethical Practices and Obligations | 25% | - Conflicts of interest and fiduciary duties - Fraudulent and unethical conduct |
| Topic 5: Communication with Customers and Prospects | 20% | - Disclosure requirements - Advertising and correspondence rules |
| Topic 6: Remedies and Administrative Provisions | 9% | - Enforcement and penalties - State Administrator authority |
| Topic 7: Regulation of Broker-Dealers | 12% | - Federal and state registration standards - Broker-dealer regulatory requirements |
| Topic 8: Regulation of Investment Advisers | 5% | - Investment adviser registration rules - Federal vs state adviser regulation |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
Which of the following statements regarding the registration of broker-dealers and investment advisers is true?
- A. Investment advisers must always be registered with the SEC to conduct business; broker-dealers may be registered with either an individual state or the SEC or both.
- B. Investment advisers are required either to be registered with a state or with the SEC, while broker-dealers must be registered both with the SEC and the state.
- C. Investment advisers are required to register with both the state and the SEC, while broker-dealers may be registered with only one or the other.
- D. Both investment advisers and broker-dealers must be registered with the SEC and with the states in which they have offices.
Correct Answer: B 🗳️
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Which of the following persons would not be required to register with the state as an agent under the guidelines of the Uniform Securities Act (USA)?
- A. Preetham is part-owner of SecureMoney Broker-Dealers and executes the purchase and sale of securities for the firm's customers.
- B. John is employed by TrustUs Corporation to sell shares of the firm's stock to the firm's employees and receives a commission on the shares he sells.
- C. Stefan is a sales representative for SecureMoney Broker-Dealers and sells only mutual fund shares.
- D. Keith is a salaried employee of Middlesex County in Massachusetts who sells revenue bonds issued by the county to the public.
Correct Answer: D 🗳️
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What criminal penalties are specified for "willful violations" of the Uniform Securities Act?
- A. up to 3 years in prison or a $5,000 fine, or both.
- B. up to 5 years in prison or a $10,000 fine, or both.
- C. license suspension.
Correct Answer: B 🗳️
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After passing the necessary exams, you must submit which of the following to the state Administrator when applying for registration as an agent?
- A. a recent photograph of yourself
- B. Form ADV
- C. proof that you meet the state's minimum net capital requirement
- D. U-4
Correct Answer: D 🗳️
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An investment adviser suggests that his client, Arnold, a 74-year old gentleman, should consider a reallocation of the assets in his portfolio. The adviser tells Arnold that he has far too much invested in bonds, which don't earn as much as stocks. He advises Arnold to take 80% of the money he has in bonds and invest it in an aggressive growth mutual fund that has provided an average annual return of 40% over the past three years.
Arnold is impressed and follows this advice. Shortly thereafter, there is a steep drop in the market in general, and the net asset value of the aggressive growth mutual fund falls 85%.
Does Arnold have any remedies available to him?
- A. No. The investment adviser had no way of knowing that the market was going to fall when he provided the advice, so the adviser did not fail in his fiduciary responsibility to Arnold.
- B. No. Arnold had the choice and got greedy. As the old saying goes, "Bulls get rich, and bears get rich, but pigs get led to slaughter."
- C. Yes. Arnold can sue for the amount of his losses, plus interest, as well as an amount assessed by the court for "pain and suffering."
- D. Yes. Arnold can sue for the amount of his losses, plus interest, court costs, and attorneys' fees.
Correct Answer: D 🗳️
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