FINRA Series63 Exam : Uniform Securities Agent State Law Examination
- Exam Code: Series63
- Exam Name: Uniform Securities Agent State Law Examination
- Updated: Sep 12, 2026
- Q & A: 251 Questions and Answers
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FINRA Series63 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Regulation of Broker-Dealers | 12% | - Broker-dealer regulatory requirements - Federal and state registration standards |
| Topic 2: Regulation of Investment Adviser Representatives | 5% | - Recordkeeping and contract standards - IAR registration and obligations |
| Topic 3: Communication with Customers and Prospects | 20% | - Disclosure requirements - Advertising and correspondence rules |
| Topic 4: Regulation of Investment Advisers | 5% | - Investment adviser registration rules - Federal vs state adviser regulation |
| Topic 5: Regulations of Securities and Issuers | 9% | - Issuer regulation principles - Securities registration and exemptions |
| Topic 6: Remedies and Administrative Provisions | 9% | - Enforcement and penalties - State Administrator authority |
| Topic 7: Regulation of Broker-Dealer Agents | 13% | - Associated person regulations - Agent registration requirements |
| Topic 8: Ethical Practices and Obligations | 25% | - Conflicts of interest and fiduciary duties - Fraudulent and unethical conduct |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
Which of the following is not a method that can be used to register securities with the state?
- A. registration by exception
- B. registration by coordination
- C. registration by notification
- D. registration by qualification
Correct Answer: A 🗳️
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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. 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.
- B. call Mr. Crochety's relatives and suggest they have him examined for mental instability.
- C. 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.
- D. ignore Mr. Crochety's instruction since it is not in his best interest.
Correct Answer: A 🗳️
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Finn Nance has recently passed his CFP exam and is now a certified financial planner. He has new business cards printed that have the words "Certified Financial Planner" printed under his picture. In doing so,
- A. Finn has not violated any laws or engaged in any prohibited practices.
- B. Finn is not in violation of any laws as long as he has notified the state Administrator of his new designation and his new logo.
- C. Finn has possibly violated a state securities regulation. The Administrator in many states prohibits the use of the word "certified" on any advertisement for services.
- D. Finn has violated a securities law. The Uniform Securities Act prohibits anyone from using the word
"certified" on any advertisement for services.
Correct Answer: A 🗳️
Explanation: Only visible for DumpsActual members. You can sign-up / login (it's free).
Which of the following compensation arrangements between an investment adviser and an individual client with a net worth of $600,000 would be disallowed?
- A. The investment adviser will receive 0.1% of the gross capital gains earned on the portfolio each quarter.
- B. The investment adviser will receive 0.1% of the total value of the client's assets under management as of the end of each month.
- C. All of the above are legitimate compensation arrangements between and investment adviser and an individual client with a net worth of $600,000.
- D. The client agrees to pay the investment adviser an hourly fee of $60.00.
Correct Answer: A 🗳️
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In which of the following scenarios will the investment adviser be subject to criminal fraud charges?
- A. An adviser owns the stock of TweedleDee Corporation and has issued a report recommending the stock as a "buy," disclosing the fact that it owns the stock
- B. An adviser sells its shares of TweedleDee Corporation after issuing a report recommending the stock as a "buy."
- C. all of the above. It is considered criminal fraud for an investment adviser to make any recommendations on a security in which it has or plans to have a position.
- D. An adviser owns the stock of TweedleDee Corporation and has issued a report recommending the stock as a "buy" without disclosing the fact that it owns the stock.
Correct Answer: B 🗳️
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