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 | Objectives |
|---|---|
| State Securities Acts and Related Rules | - Definitions and terminology under Uniform Securities Act - Exempt securities and exempt transactions - Registration of securities, broker-dealers, agents, and investment advisers |
| Regulatory Provisions and Compliance | - Enforcement actions and penalties - Ethical practices and fiduciary obligations - Recordkeeping and administrative provisions |
| 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:
In accordance with the Telephone Consumer Protection Act of 1991 (TCPA), if a prospective client
requests to be put on your firm's Do-Not-Call (DNC) list, the client must be kept on that list for
- A. 2 years.
- B. 10 years.
- C. 1 year.
- D. 5 years.
Correct Answer: B 🗳️
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Mr. and Mrs. Cleaver are nearing retirement and have made an appointment with Mr. Eddie, an
investment adviser representative who works for Haskell Investment Advisers, to get advice on how they
can better structure their investments to meet their retirement goals. Their son, Theodore, who has
recently graduated college and has a great job as a software writer for a video game company,
accompanies them. Mr. Eddie explains that the main goal of any plan is diversification and recommends
that Mr. and Mrs. Cleaver spread their investment monies equally among six load mutual funds that Mr.
Eddie can sell them. He suggests that Theodore follow suit and invest any monies he has equally among
the same ten funds. Has Mr. Eddie done anything wrong?
- A. Yes. Clients who are ready to retire have different investment needs than a client who is just entering
the work force. The recommendation that both Theodore and his parents have the same asset allocation
is clearly unsuitable. - B. Yes. Mr. Eddie has advised his clients to invest in load funds when no load funds are clearly better
investments. - C. Yes. Mr. Eddie is guilty of misappropriation, a prohibited practice.
- D. No. Diversification should, in fact, be the goal, and he has advised a well-diversified plan for his clients.
Correct Answer: A 🗳️
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Which of the following is not a prohibited practice for broker-dealers under the NASAA Model Rules?
- A. lending money to clients for them to invest
- B. borrowing money from a client
- C. providing a client with a copy of their most recent balance sheet upon request
- D. charging commissions that are significantly higher than those charged by other broker-dealers
Correct Answer: A 🗳️
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You are a registered agent with a broker-dealer. One of your clients visits you and wants you to sell some
of the U.S. government bonds she owns and purchase shares of a specific aggressive growth mutual fund
for her with the proceeds. Your client is a mentally-competent, 84-year-old woman but, based on your
other knowledge of her situation, you believe it to be an unwise move. You should
- A. nod politely, but not execute the transactions since they are not in her best interest.
- B. turn the matter over to your supervisor.
- C. call the mutual fund and tell them that they must convince this client that an investment in their fund is
not in her best interest, under penalty of law. - D. advise her that you don't believe this is in her best interest, but execute the required transactions if she
insists.
Correct Answer: D 🗳️
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For how long after the effective date is a security's registration valid?
- A. three months
- B. two years
- C. one year
- D. six months
Correct Answer: C 🗳️
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