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FINRA Series63 Exam Overview:
| Certification Vendor: | FINRA |
|---|---|
| Exam Name: | Uniform Securities Agent State Law Examination |
| Exam Number: | Series 63 |
| Available Languages: | English |
| Certificate Validity Period: | Indefinite (subject to state registration and regulatory requirements) |
| Passing Score: | 72% (43 out of 60 questions) |
| Exam Duration: | 75 minutes |
| Related Certifications: | Series 6 Series 66 Series 7 |
| Exam Price: | $147 USD |
| Real Exam Qty: | 60 scored multiple-choice questions |
| Exam Format: | Computer-based exam, Multiple-choice |
| Recommended Training: | Securities Training Corporation (STC) - Series 63 Kaplan Financial Education - Series 63 |
| Exam Registration: | FINRA Series 63 Exam Registration |
| Sample Questions: | FINRA Series63 Sample Questions |
| Exam Way: | Computer-based, proctored at authorized testing centers (Prometric) |
| Pre Condition: | No formal prerequisite, but typically taken alongside or after Series 6 or Series 7 for state registration purposes |
| Official Syllabus URL: | https://www.finra.org/registration-exams-ce/qualification-exams/series63 |
FINRA Series63 Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Topic 1: Administrative Provisions and Enforcement | - Recordkeeping and reporting requirements - State enforcement powers and penalties |
| Topic 2: Ethical Practices and Fiduciary Responsibilities | - Prohibited practices and fraud prevention - Disclosure obligations and client protection |
| Topic 3: State Securities Acts and Regulations | - Uniform Securities Act (USA) framework - Registration of securities and exemptions |
| Topic 4: Regulation of Investment Advisers and Agents | - Broker-dealer regulation and supervision - Registration requirements for agents |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
Question 1
Kevin has a pair of season tickets to the Boston Red Sox games. He and his wife can't attend all the games themselves, so Kevin has created "packages" of eight games each that he is listing for sale on Craig's List.
Do these "packages" meet the definition of securities, and, if so, does Kevin need to register them with the state before offering them for sale?
A. If Kevin will be profiting from the sale of the packages, the packages are defined to be securities, but since he's selling the packages to only a few people, he will not have to register them with the state.
(Kevin may, however, be guilty of violating ticket scalping laws.)
B. Statements A and B are both true statements.
C. The packages are not considered to be securities since each package is merely a purchase and sale agreement between Kevin and another person. There is no third party involved. Because they do not meet the definition of securities, Kevin does not need to register them with the state.
D. Only if Kevin will be selling the packages at or below cost are the packages not considered to be securities, in which case Kevin will not have to register them with the state.
Question 2
For how long after the effective date is a security's registration valid?
A. three months
B. one year
C. six months
D. two years
Question 3
Ms. Naivete gave Mr. Smooth, owner of Smooth Construction, $40,000 in return for a promissory note that promised to pay interest at the rate of 8% a quarter, with a repayment of principal at the end of two years. The money would be used by Mr. Smooth to rehab a few beach condo units that had been severely hurricane-damaged and that Mr. Smooth had been able to purchase for "pennies on the dollar," or so he said.
The first units would be completed within a month, and the rents would be used to make the interest payments.
The investment was almost as risk-free as U.S. government bonds, Mr. Smooth claimed. By the end of the second year, Ms. Naivete had received a lot of fast talk and only one of the promised interest payments.
Have there been any violation of securities laws in this instance?
A. Yes. Ms. Naivete has been defrauded by Mr. Smooth.
B. Both B and C are true statements.
C. No. This was simply a loan transacted between two parties.
D. Yes. Mr. Smooth was required to register the promissory note before he offered it for sale.
Question 4
In which of the following scenarios is an investment adviser representative required to disclose the fact that someone other than the representative performed the research on which his advice to the client is based?
I. The investment adviser representative recommends the same asset allocation for his client that a buddy of his did after his buddy had done some research for a client with similar characteristics.
II. The investment adviser representative provides a recommendation for his client based on research provided by a broker-dealer that provides the investment adviser with its analysts' recommendations in return for trades that the investment adviser executes using the services of the broker-dealer, as well as a couple of other research sources he finds on the internet.
III. The investment adviser representative submitted his client's information to a data base that provided a recommendation for the asset allocation of the client's investment monies that the adviser deemed was sound and, therefore, recommended it to his client.
A. I and III only
B. III only
C. I only
D. II only
Question 5
Mr. Teche is an agent with broker-dealer CanDo, and his only compensation is the commissions he earns on trades he executes. He has applied for and been granted an adjunct teaching position with a local university that will allow him to earn money while he is establishing himself.
Which of the following statements are true?
A. As an agent with broker-dealer CanDo, Mr. Teche must notify CanDo in writing of this position prior to accepting it.
B. CanDo can deny Mr. Teche permission to accept the adjunct teaching position.
C. Both A and B are true.
D. Mr. Teche is, in essence, an independent contractor with broker-dealer CanDo and can engage in any other business activity at will.
Solutions:
| Question 1 Answer: C | Question 2 Answer: B | Question 3 Answer: B | Question 4 Answer: A | Question 5 Answer: C |
FINRA Series63 Exam Overview:
| Certification Vendor: | FINRA |
|---|---|
| Exam Name: | Uniform Securities Agent State Law Examination |
| Exam Number: | Series 63 |
| Available Languages: | English |
| Certificate Validity Period: | Indefinite (subject to state registration and regulatory requirements) |
| Passing Score: | 72% (43 out of 60 questions) |
| Exam Duration: | 75 minutes |
| Related Certifications: | Series 6 Series 66 Series 7 |
| Exam Price: | $147 USD |
| Real Exam Qty: | 60 scored multiple-choice questions |
| Exam Format: | Computer-based exam, Multiple-choice |
| Recommended Training: | Securities Training Corporation (STC) - Series 63 Kaplan Financial Education - Series 63 |
| Exam Registration: | FINRA Series 63 Exam Registration |
| Sample Questions: | FINRA Series63 Sample Questions |
| Exam Way: | Computer-based, proctored at authorized testing centers (Prometric) |
| Pre Condition: | No formal prerequisite, but typically taken alongside or after Series 6 or Series 7 for state registration purposes |
| Official Syllabus URL: | https://www.finra.org/registration-exams-ce/qualification-exams/series63 |
FINRA Series63 Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Topic 1: Administrative Provisions and Enforcement | - Recordkeeping and reporting requirements - State enforcement powers and penalties |
| Topic 2: Ethical Practices and Fiduciary Responsibilities | - Prohibited practices and fraud prevention - Disclosure obligations and client protection |
| Topic 3: State Securities Acts and Regulations | - Uniform Securities Act (USA) framework - Registration of securities and exemptions |
| Topic 4: Regulation of Investment Advisers and Agents | - Broker-dealer regulation and supervision - Registration requirements for agents |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
Question 1
Kevin has a pair of season tickets to the Boston Red Sox games. He and his wife can't attend all the games themselves, so Kevin has created "packages" of eight games each that he is listing for sale on Craig's List.
Do these "packages" meet the definition of securities, and, if so, does Kevin need to register them with the state before offering them for sale?
A. If Kevin will be profiting from the sale of the packages, the packages are defined to be securities, but since he's selling the packages to only a few people, he will not have to register them with the state.
(Kevin may, however, be guilty of violating ticket scalping laws.)
B. Statements A and B are both true statements.
C. The packages are not considered to be securities since each package is merely a purchase and sale agreement between Kevin and another person. There is no third party involved. Because they do not meet the definition of securities, Kevin does not need to register them with the state.
D. Only if Kevin will be selling the packages at or below cost are the packages not considered to be securities, in which case Kevin will not have to register them with the state.
Question 2
For how long after the effective date is a security's registration valid?
A. three months
B. one year
C. six months
D. two years
Question 3
Ms. Naivete gave Mr. Smooth, owner of Smooth Construction, $40,000 in return for a promissory note that promised to pay interest at the rate of 8% a quarter, with a repayment of principal at the end of two years. The money would be used by Mr. Smooth to rehab a few beach condo units that had been severely hurricane-damaged and that Mr. Smooth had been able to purchase for "pennies on the dollar," or so he said.
The first units would be completed within a month, and the rents would be used to make the interest payments.
The investment was almost as risk-free as U.S. government bonds, Mr. Smooth claimed. By the end of the second year, Ms. Naivete had received a lot of fast talk and only one of the promised interest payments.
Have there been any violation of securities laws in this instance?
A. Yes. Ms. Naivete has been defrauded by Mr. Smooth.
B. Both B and C are true statements.
C. No. This was simply a loan transacted between two parties.
D. Yes. Mr. Smooth was required to register the promissory note before he offered it for sale.
Question 4
In which of the following scenarios is an investment adviser representative required to disclose the fact that someone other than the representative performed the research on which his advice to the client is based?
I. The investment adviser representative recommends the same asset allocation for his client that a buddy of his did after his buddy had done some research for a client with similar characteristics.
II. The investment adviser representative provides a recommendation for his client based on research provided by a broker-dealer that provides the investment adviser with its analysts' recommendations in return for trades that the investment adviser executes using the services of the broker-dealer, as well as a couple of other research sources he finds on the internet.
III. The investment adviser representative submitted his client's information to a data base that provided a recommendation for the asset allocation of the client's investment monies that the adviser deemed was sound and, therefore, recommended it to his client.
A. I and III only
B. III only
C. I only
D. II only
Question 5
Mr. Teche is an agent with broker-dealer CanDo, and his only compensation is the commissions he earns on trades he executes. He has applied for and been granted an adjunct teaching position with a local university that will allow him to earn money while he is establishing himself.
Which of the following statements are true?
A. As an agent with broker-dealer CanDo, Mr. Teche must notify CanDo in writing of this position prior to accepting it.
B. CanDo can deny Mr. Teche permission to accept the adjunct teaching position.
C. Both A and B are true.
D. Mr. Teche is, in essence, an independent contractor with broker-dealer CanDo and can engage in any other business activity at will.
Solutions:
| Question 1 Answer: C | Question 2 Answer: B | Question 3 Answer: B | Question 4 Answer: A | Question 5 Answer: C |
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