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FINRA Series63 Q&A - in .pdf
- Exam Code: Series63
- Exam Name: Uniform Securities Agent State Law Examination
- Updated: Sep 08, 2026
- Q & A: 251 Questions and Answers
- Printable FINRA Series63 PDF Format. It is an electronic file format regardless of the operating system platform.
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FINRA Series63 Q&A - Testing Engine
- Exam Code: Series63
- Exam Name: Uniform Securities Agent State Law Examination
- Updated: Sep 08, 2026
- Q & A: 251 Questions and Answers
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FINRA Series63 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Regulation of Investment Adviser Representatives | 5% | - IAR registration and obligations - Recordkeeping and contract standards |
| Topic 2: Regulation of Investment Advisers | 5% | - Federal vs state adviser regulation - Investment adviser registration rules |
| Topic 3: Regulation of Broker-Dealer Agents | 13% | - Associated person regulations - Agent registration requirements |
| Topic 4: Regulations of Securities and Issuers | 9% | - Issuer regulation principles - Securities registration and exemptions |
| Topic 5: Regulation of Broker-Dealers | 12% | - Broker-dealer regulatory requirements - Federal and state registration standards |
| Topic 6: Ethical Practices and Obligations | 25% | - Fraudulent and unethical conduct - Conflicts of interest and fiduciary duties |
| Topic 7: Remedies and Administrative Provisions | 9% | - Enforcement and penalties - State Administrator authority |
| Topic 8: Communication with Customers and Prospects | 20% | - Advertising and correspondence rules - Disclosure requirements |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
Question #1
Ari Gaunt is employed by a small state-registered broker-dealer and has recently received notification that his application to be a registered agent of the state has been accepted. Now that he is licensed to execute transactions for the firm's clients, Ari has a batch of business cards printed up, with a picture of himself on the right-hand side of the card. Underneath the picture is the caption, "State-Approved Agent." Will Ari be violating any securities laws if he distributes these business cards?
- A. Yes. Agents are not permitted to include a picture of themselves on their business cards.
- B. No. However, he may be violating company policy of the broker-dealer he works for by designing his own cards.
- C. Yes. It is a violation of a securities law to suggest that he has been approved by the state Administrator.
- D. No. His registration with the Administrator of the state has been accepted, so he is entitled to call himself a "State-Approved Agent."
Answer: C
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Question #2
An investment adviser or its representative may
- A. only exercise any discretionary power in the purchase or sale of securities for a client's account after receiving written authority prior to the execution of the transactions.
- B. exercise discretionary power in the purchase or sale of securities for a client's account as long as.
- C. exercise discretionary power in the purchase or sale of securities for a client's account only after.
- D. exercise discretionary power in the purchase or sale of securities for a client's account as long as it receives written discretionary authority over the account within 10 business days of the first discretionary transaction placed, assuming oral authority has already been given.
Answer: D
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Question #3
A-2-Z Associates advertises itself as a full service brokerage firm that will buy and sell securities for its clients, as well as provide investment advice to them. Its brochure provides a variety of plans to which a client can subscribe. The basic plan is the cheapest and allows the client a maximum number of trades per month for a specified fee. Another, slightly more expensive, plan provides the client with the same maximum number of trades per month, but the client also receives a personalized quarterly review of his portfolio along with advice for restructuring his portfolio based on such factors as current market conditions and specific industry or company information. The most expensive plan is one in which the client is assigned to an individual portfolio manager, who will take total responsibility for the asset allocation of the client's portfolio and will provide the client with monthly reports. Based on the services A-2-Z provides, it must register with the state as:
- A. both a broker-dealer and an investment adviser.
- B. a broker-dealer.
- C. an investment adviser.
- D. an investment adviser representative.
Answer: A
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Question #4
Bootstraps, Inc. is a family-owned business that has experienced enormous growth in the last couple of years.
The business needs more cash to support this growth and has decided to issue some promissory notes, each with a face value of $5,000, for sale to the general public. The firm plans to hire three individuals to help them sell these notes. These individuals will earn a commission based on the notes they sell.
Given these facts, which of the following is true?
- A. The notes must be registered with the state, and the three individuals hired to sell the notes must be registered as agents with the state.
- B. Either the firm must register the notes with the state, or the individuals that are hired to sell the notes must be registered as agents with the state, but not both.
- C. The notes must be registered with the state, but the individuals hired to sell them are not required to be registered.
- D. Neither the notes nor the individuals selling the notes need to be registered with the state.
Answer: A
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Question #5
For how long after the effective date is a security's registration valid?
- A. two years
- B. six months
- C. three months
- D. one year
Answer: D
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