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FINRA Series63 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Regulation of Broker-Dealers | 12% | - Broker-dealer regulatory requirements - Federal and state registration standards |
| Regulations of Securities and Issuers | 9% | - Securities registration and exemptions - Issuer regulation principles |
| Communication with Customers and Prospects | 20% | - Disclosure requirements - Advertising and correspondence rules |
| Regulation of Broker-Dealer Agents | 13% | - Associated person regulations - Agent registration requirements |
| Remedies and Administrative Provisions | 9% | - Enforcement and penalties - State Administrator authority |
| Regulation of Investment Advisers | 5% | - Investment adviser registration rules - Federal vs state adviser regulation |
| Ethical Practices and Obligations | 25% | - Conflicts of interest and fiduciary duties - Fraudulent and unethical conduct |
| Regulation of Investment Adviser Representatives | 5% | - IAR registration and obligations - Recordkeeping and contract standards |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
An agent cannot tell a client that a mutual fund is "no load" if the fund has
I. a front-end load
II. a contingent deferred sales load
III. 12b-1 fees
- A. I only
- B. I, II or III
- C. I or III only
- D. I or II only
Correct Answer: D 🗳️
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Newbie Corporation is considering the possibility of an interstate initial public offering (IPO) of its stock. In the initial meetings with BigFee Investment Bankers, Newbie has learned that the underwriting spread will be
15%. Although the actual offering price won't be set until Newbie's registration statement is approved by the SEC, BigFee has indicated that the offer price will probably be between $3 and $4 a share and that the stock will initially be listed on the OTC Bulletin Board.
What methods for state registration does Newbie have available?
I. registration by coordination
II. registration by notification
III. registration by qualification
- A. Methods I and III only
- B. Newbie may elect to register by any one of the above methods although registration by qualification would be the most burdensome choice.
- C. Method II only
- D. Method I only
Correct Answer: A 🗳️
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"T + 3" refers to
- A. a procedure to minimize the potential for money laundering.
- B. the form that is filled out and sent to the client confirming that the trade has been executed.
- C. the fact that the settlement date will be three business days after the trade date, which is the "regular way settlement" for transactions involving stocks and corporate and municipal bonds.
- D. the form, also known as a "trade ticket," that is filled out when an order is entered into the market.
Correct Answer: C 🗳️
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The Turnover Corporation, a firm with 25,000 employees, has recently hired 50 new employees, many of whom have been hired to replace middle-level managers who have retired. Turnover has omitted this fact from its prospectus. Turnover is guilty of
- A. misusing insider information.
- B. fraud.
- C. misrepresentation.
- D. nothing. The hiring of 50 new employees by a firm with 25,000 employees is not a material fact.
Correct Answer: D 🗳️
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A variable annuity is:
- A. a security and, therefore, has to be registered with the state before it can be offered for sale.
- B. a security, but is exempt from state registration.
- C. not a security and, therefore, does not have to be registered with the state.
- D. not a security, but is still required to be registered with the state before it can be offered for sale.
Correct Answer: B 🗳️
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