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FINRA Series63 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Communication with Customers and Prospects | 20% | - Disclosure requirements - Advertising and correspondence rules |
| Regulation of Broker-Dealer Agents | 13% | - Agent registration requirements - Associated person regulations |
| Remedies and Administrative Provisions | 9% | - State Administrator authority - Enforcement and penalties |
| Regulation of Investment Adviser Representatives | 5% | - IAR registration and obligations - Recordkeeping and contract standards |
| Regulation of Broker-Dealers | 12% | - Broker-dealer regulatory requirements - Federal and state registration standards |
| Ethical Practices and Obligations | 25% | - Fraudulent and unethical conduct - Conflicts of interest and fiduciary duties |
| Regulations of Securities and Issuers | 9% | - Securities registration and exemptions - Issuer regulation principles |
| Regulation of Investment Advisers | 5% | - Federal vs state adviser regulation - Investment adviser registration rules |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
In which of the following cases is an investment adviser allowed to be compensated with a share of the capital gains of the client's portfolio?
I. The client is a mutual fund.
II. The client is a credit union.
III. The client is a private client whose minimum net worth is $1 million or more.
IV. The client is a private client who has at least $750,000 invested through the investment adviser.
- A. I, II, and IV only
- B. none of the above. An investment adviser is never allowed to share in the capital gains earned on
- C. I and II only
- D. I, II, and III only
Correct Answer: A 🗳️
Explanation: Only visible for TrainingDumps members. You can sign-up / login (it's free).
For how long after the effective date is a security's registration valid?
- A. one year
- B. six months
- C. two years
- D. three months
Correct Answer: A 🗳️
Explanation: Only visible for TrainingDumps members. You can sign-up / login (it's free).
No: 167
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 buy or sell a stock at a specified price, which differs from the current market price.
- C. an order to sell securities that the investor owns if the stock decreases by a certain amount from the current price.
- D. 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.
Correct Answer: D 🗳️
Explanation: Only visible for TrainingDumps members. You can sign-up / login (it's free).
Which of the following does not describe a prohibited activity by investment advisers and their representatives, according to NASAA Model Rules?
- A. All of the above describe prohibited practices.
- B. The agreement that Simon LaGree has his clients sign indicates that LaGree uses SecureMoney Broker-Dealers in executing trades for his clients and that, in return, LaGree receives software from the broker-dealer that allows LaGree to perform some fundamental and technical analysis.
- C. A 72-year-old retired social worker comes to Simon LaGree for investment advice. She has $50,000 to invest. Simon recommends she invest half of it in an international growth mutual fund and half in a variable annuity.
- D. A new client comes to Simon LaGree for investment advice. The client has $25,000 to invest. Simon tells the client that it will cost the client $5,000 to have a customized financial plan developed for him, but after that the client needs to pay only 5% of the total value of the assets under management each quarter.
Correct Answer: B 🗳️
Explanation: Only visible for TrainingDumps members. You can sign-up / login (it's free).
Switch Advisory is a small investment adviser partnership registered in a single state. A larger investment adviser firm, Bait Investment Adviser, is registered in the same state as well as two other states. Bait has offered to buy out three of Switch's partners who want to retire. This will give Bait a 60% ownership in Switch Advisory.
Which of the following statements are true?
I. Switch Advisory must obtain the approval of its clients before the partners can sell their interests to Bait.
II. Switch Advisory must notify the state Administrator of this event.
III. Switch Advisory must notify their clients of this event, but does not need the clients' approval.
IV. Switch Advisory must notify the SEC of this event.
- A. I, II, and IV only
- B. II, III, and IV only
- C. I and II only
- D. I only
Correct Answer: C 🗳️
Explanation: Only visible for TrainingDumps members. You can sign-up / login (it's free).
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Viewing questions 1-5 out of 251 questions.
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