Prepare with latest FINRA Series63 Pass-King Actual Torrent
Updated: Oct 05, 2026
No. of Questions: 251 Questions & Answers with Testing Engine
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FINRA Series63 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: State Securities Acts and Related Rules & Regulations | 40% | - Registration of securities and exemptions - Regulation of broker-dealers and agents - Regulation of investment advisers and representatives - Definitions and jurisdiction |
| Topic 2: Prohibited Practices and Ethical Obligations | 20% | - Disclosure and fair dealing - Administrative remedies and enforcement - Fraudulent and unethical business conduct |
| Topic 3: Regulations of Investment Advisers and Representatives | 15% | - Registration and exclusions - Advertising and recordkeeping rules - Fiduciary duties and disclosure requirements |
| Topic 4: Regulations of Agents and Broker-Dealers | 25% | - Supervision and compliance responsibilities - Registration requirements and exemptions - Recordkeeping and reporting obligations |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
Which of the following would meet the requirements for an "exempt security?"
- A. a $25,000 promissory note that matures in three months
- B. commercial paper with a $200,000 face value and a maturity of three months that is rated BB by Standard and Poors
- C. commercial paper with a $100,000 face value and a maturity of five months that is rated AA by Standard and Poors
- D. a $500,000 promissory note that matures in two years
Correct Answer: C 🗳️
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Under the Uniform Securities Act, which of the following does not need to be included when filing to register a security issue with the state?
- A. a copy of any indenture applying to the security being registered
- B. copies of the underwriter agreements
- C. a copy of the firm's articles of incorporation and bylaws, or the equivalent
- D. All of the above documents must be included when filing to register a security with the state.
Correct Answer: D 🗳️
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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 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.
- B. is in violation of NASAA rules regarding investment company shares.
- 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.
Correct Answer: B 🗳️
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The Administrator of a state can deny an application if
- A. the registrant has been enjoined from engaging in activities involving securities in another state.
- B. the application is missing information.
- C. any of the above is true.
- D. the Administrator determines the applicant is not financially solvent.
Correct Answer: C 🗳️
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The 2003 NASAA Model Rule requires that investment advisers that are not federal covered maintain their records for at least
- A. five years.
- B. Investment advisers must maintain their records for as long as they remain registered with the state.
- C. three years.
- D. seven years.
Correct Answer: A 🗳️
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