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FINRA Series63 Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| State Securities Acts and Regulations | - Uniform Securities Act (USA) framework - Registration of securities and exemptions |
| Regulation of Investment Advisers and Agents | - Broker-dealer regulation and supervision - Registration requirements for agents |
| Administrative Provisions and Enforcement | - State enforcement powers and penalties - Recordkeeping and reporting requirements |
| Ethical Practices and Fiduciary Responsibilities | - Prohibited practices and fraud prevention - Disclosure obligations and client protection |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
Broker-dealer Nebulous opted to withdraw its registration with the state. Six months later, the Administrator finds that Nebulous had been engaged in fraudulent securities transactions.
Which of the following statements is true?
- A. The Administrator is only able to take disciplinary action if the misdeeds are discovered within three months of the effective date of the withdrawal, so Nebulous slipped by this time.
- B. The Administrator has five years from the discovery of the misdeed to take disciplinary action, so Nebulous will have to be on the lookout for a long time to come.
- C. The Administrator can take disciplinary action against Nebulous for up to one year, so Nebulous is in trouble.
- D. The Administrator is unable to take disciplinary action against Nebulous because the self-initiated withdrawal became effective 30 days after the application was filed.
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Which of the following would meet the requirements for an "exempt security?"
- A. commercial paper with a $100,000 face value and a maturity of five months that is rated AA by Standard and Poors
- B. a $25,000 promissory note that matures in three months
- C. commercial paper with a $200,000 face value and a maturity of three months that is rated BB by Standard and Poors
- D. a $500,000 promissory note that matures in two years
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Constance is an investment adviser representative. She told one of her clients that he should put at least 15% of his investment monies in a U.S. government bond mutual fund.
She explained that she believed that he required this percentage to meet his liquidity needs, and U.S.
government bond funds are risk-free. A few months later, the client needed to sell some of his fund shares in order to pay some medical bills and was surprised to discover that he lost money on the sale because the net asset value of the fund had dropped.
Was Constance guilty of any securities violations?
- A. Yes. Constance should never recommend that a client invest such a high percentage of his investment monies in a U.S. government bond mutual fund.
- B. No. U.S. government bonds are often referred to as risk-free investments, so Constance made no misstatement of fact in telling her client this.
- C. It depends. If Constance realized that the client could lose money in a U.S. government bond fund, then she is guilty of fraud, but if she did not herself realize that, then she is merely misinformed.
- D. Yes. Constance is guilty of fraud. She misled the client into thinking he couldn't lose any money if he invested the money in a U.S. government bond mutual fund.
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Price pegging refers to
- A. the illegal activity of a group of investors who buy and sell a security among themselves to create an artificially high volume of trading in hopes of luring investors to buy the security.
- B. the practice of buying large amounts of a security to drive its price up artificially.
- C. the unethical practice of investment advisers who issue "buy" recommendations for stocks that they own themselves without disclosing the fact.
- D. the prohibited practice of excessively trading on a client's account that is used by some broker-dealers and/or their agents to generate more commissions for themselves.
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Desi Genuos is an agent with Broker-Dealer CanDo. A client has asked Desi to recommend a mutual fund that does not have a sales charge. Desi recommends a fund that has no front-end load although it does have a deferred sales load if the investor redeems his shares within the first three years of ownership, but the client has informed Desi that he is looking at this as a long-term investment. Based on these facts, Desi
- A. is in violation of NASAA rules regarding investment company shares.
- B. is not in violation of any rules because he is an agent of a broker-dealer and is not affiliated with the fund he has recommended in any manner.
- C. will not be in violation of any NASAA rules as long as he has his client sign a "letter of intent."
- D. is not in violation of any rules since the fund has no front-end load and the deferred sales load will not apply to this client, given his indication that this is meant to be a long-term investment.
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