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FINRA Uniform Securities Agent State Law Examination : Series63
- Exam Code: Series63
- Exam Name: Uniform Securities Agent State Law Examination
- Updated: Sep 13, 2026 Q&As: 251 Questions and Answers
- Q & A: 251 Questions and Answers
About FINRA Uniform Securities Agent State Law Examination : Series63 Exam
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FINRA Series63 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Prohibited Practices and Ethical Obligations | 20% | - Administrative remedies and enforcement - Fraudulent and unethical business conduct - Disclosure and fair dealing |
| State Securities Acts and Related Rules & Regulations | 40% | - Regulation of broker-dealers and agents - Registration of securities and exemptions - Regulation of investment advisers and representatives - Definitions and jurisdiction |
| Regulations of Investment Advisers and Representatives | 15% | - Registration and exclusions - Advertising and recordkeeping rules - Fiduciary duties and disclosure requirements |
| Regulations of Agents and Broker-Dealers | 25% | - Recordkeeping and reporting obligations - Supervision and compliance responsibilities - Registration requirements and exemptions |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
Question #1
Bob Gogetter is an agent with CanDo Broker-Dealers. One of Bob's clients is out of the country and cannot be contacted. The client holds some stock in a company that just released some information that should make its stock price soar. Bob knows that this client would probably want to increase his holdings, so Bob opens a margin account for his client and borrows the money to buy shares. As it happened, the stock price did soar, and Bob's client earned a sizeable profit.
Is Bob in violation of any securities acts?
- A. Yes. Bob is guilty of prohibited practice of churning.
- B. Yes. It is against the law for an agent to open a margin account for a client without the client's.
- C. No. Bob has a fiduciary responsibility to his client to act in his best interest, and Bob knew this.
- D. No, but only because Bob's client profited from Bob's intervention. If the stock had declined in.
Answer: B
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Question #2
Which of the following describes a prohibited practice in the sale of shares of investment companies?
I. Sandy Slacker hands her client the fund's prospectus and tells him that the prospectus will provide him all that he needs to know about loads and fees associated with the fund.
II. Elliot Eager tells a client who has an investment objective that includes current income that a certain bond fund has a current yield of 8% and provides the client with a prospectus so that the client can peruse the average annual returns that the fund has generated in past years when the client has the time.
III. After explaining all the fees and loads involved in two different bond funds as well as the difference between current yield and total return, Patty shows the client the data on the average annual returns that the two bond funds provided. She explains to the client that the municipal bond fund has a lower yield than the similar-risk corporate bond fund because the interest income the client will receive from the municipal bond fund will be free from federal taxation, while the interest income on the corporate bond fund is fully taxable.
- A. I and II only
- B. I and III only
- C. I only
- D. All the choices describe prohibited practices in the sale of shares of investment companies.
Answer: A
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Question #3
Which of the following is not a prohibited practice for a broker-dealer?
- A. recommending a security to a new client without first ascertaining that client's level of risk tolerance
- B. executing a trade for an account holder based on instructions from the account holder's spouse
- C. requiring that a client who is engaged in margin transactions leave the securities with the broker-dealer in "street name"
- D. waiting 36 hours before mailing a check after receiving a request for a cash withdrawal from a client if the client has that much cash available in his account
Answer: C
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Question #4
According to the NASAA Model Rules, a broker-dealer is not permitted to allow a customer to engage in margin transactions unless
- A. the client has been a customer of the firm for at least 6 months.
- B. the client has a net worth of at least $500,000.
- C. the broker-dealer receives a margin agreement signed by the client promptly after the client's first margin transaction.
- D. the broker-dealer already has a margin agreement signed by the client in hand.
Answer: C
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Question #5
Which of the following funds can an agent indicate is "no load?"
- A. a fund with no front-end or back-end load that has 12b-1 fees equal to 0.30% of the average net assets of the fund.
- B. Both A and C can be advertised as "no load" funds.
- C. a fund with no front-end load that has 12b-1 fees equal to 0.10% of the average net assets of the fund and a rear-end load that varies depending on how long the investor has held the shares.
- D. a fund with no front-end or back-end load that has 12b-1 fees equal to 0.25% of the average net assets of the fund.
Answer: D
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