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FINRA Series_63 Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Topic 1: Regulatory Provisions and Compliance | - Ethical practices and fiduciary obligations - Recordkeeping and administrative provisions - Enforcement actions and penalties |
| Topic 2: State Securities Acts and Related Rules | - Definitions and terminology under Uniform Securities Act - Registration of securities, broker-dealers, agents, and investment advisers - Exempt securities and exempt transactions |
| Topic 3: Registration Procedures and Requirements | - Registration process for agents and broker-dealers - State notice filings and renewals |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
The trade confirmation must be received by the customer no later than
- A. five business days after the settlement date.
- B. one week after the settlement date.
- C. the settlement date.
- D. the day after the trade takes place.
Correct Answer: C 🗳️
Explanation: Only visible for DumpsReview members. You can sign-up / login (it's free).
Fly-By-Night Investment Advisers has closed its doors. Which of the following statements is true?
- A. Fly-By-Night must preserve and maintain all records, including client transactions and communications,
advertising materials, and financial statements of the now-defunct business for five years. - B. Fly-By-Night is required to shred all documentation of client transactions and communications.
- C. Fly-By-Night must send each of its former clients its records of all that client's transactions and
communications with the firm over the past five years. - D. Fly-By-Night must send all records of client transactions and communications to the state Administrator
for safekeeping.
Correct Answer: A 🗳️
Explanation: Only visible for DumpsReview members. You can sign-up / login (it's free).
You are an investment adviser to Mr. Crochety, an elderly man who lives solely on his social security
income although he managed to accumulate an investment portfolio worth about $100,000 over the years.
Mr. Crochety recently got his hands on a business publication and read about the tax-free interest paid by
municipal bonds. He calls you and instructs you to sell his other investments and invest all his money in a
municipal bond portfolio, so that "the government doesn't get any more of my hard-earned money." You
tell Mr. Crochety that you don't believe this is a wise move because he's in such a low tax bracket that
municipal bonds are not a good investment for him, but he is insistent. Based on these facts, you should
- A. require Mr. Crochety to sign an affidavit of liability waiver, indicating that you will not be held responsible for any adverse consequences of this decision.
- B. have Mr. Crochety sign a statement of investment policy that indicates that this transaction is being executed on the client's instructions and that you have advised the client against it.
- C. call Mr. Crochety's relatives and suggest they have him examined for mental instability.
- D. ignore Mr. Crochety's instruction since it is not in his best interest.
Correct Answer: B 🗳️
Explanation: Only visible for DumpsReview members. You can sign-up / login (it's free).
A broker-dealer cannot legally be
- A. a partnership.
- B. an individual.
- C. A broker-dealer can be any of the above.
- D. a sole-proprietorship.
Correct Answer: C 🗳️
Explanation: Only visible for DumpsReview members. You can sign-up / login (it's free).
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. each client will have to write a letter to the Administrator of the state of Colorado on MoeMoney's behalf.
- C. MoeMoney will need to apply for and be granted registration as an investment adviser representative in the state of Colorado.
- D. MoeMoney will need to apply for and be granted registration as an investment adviser in the state of Colorado.
Correct Answer: A 🗳️
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