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 |
|---|---|---|
| Topic 1: Regulation of Broker-Dealers and Agents | - Broker-Dealer definitions and requirements
| |
| Topic 2: Regulation of Investment Advisers and Representatives | - Investment Adviser Representatives
| |
| Topic 3: State Securities Acts and Related Rules | 60% | - Administrator Powers
|
| Topic 4: Ethical Practices and Fiduciary Obligations | 40% | - Ethics in securities business
|
FINRA Uniform Securities Agent State Law Examination Sample Questions:
The C&S Railroad is in the process of issuing new bonds. Before these bonds can be offered for sale,
- A. they must be registered in every state in which the bonds will be sold to investors.
- B. they must be registered with the SEC since railroads are involved in interstate commerce.
- C. None of the above statements is true.
- D. they must be registered with the SEC and in each state through which the railroad passes.
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Which of the following is not a prohibited practice for a broker-dealer?
- A. waiting 36 hours before mailing a check after receiving a request for a cash withdrawal from a client if
the client has that much cash available in his account - B. requiring that a client who is engaged in margin transactions leave the securities with the broker-dealer
in "street name" - C. executing a trade for an account holder based on instructions from the account holder's spouse
- D. recommending a security to a new client without first ascertaining that client's level of risk tolerance
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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. proof that you meet the state's minimum net capital requirement
- C. Form ADV
- D. U-4
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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 price at which the security will be offered
- D. the interest rate and time to maturity of a bond issue
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Sam Shyster had his day in court-and lost. His license to do business as an investment adviser in the
state has been revoked. What legitimate options does Sam have available to him now?
- A. Sam can register with the SEC as an investment adviser, which will exempt him from state registration
requirements. - B. Sam has 60 days to file an appeal of the decision in a court of law.
- C. Sam has 45 days in which to file an appeal with the attorney general.
- D. Sam can move to another state and apply for registration as an investment adviser there.
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