FINRA Series_63 Q&A - in .pdf

Exam Code: Series_63
Exam Name: Uniform Securities Agent State Law Examination
Q & A: 255 Questions and Answers
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Exam Name: Uniform Securities Agent State Law Examination
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FINRA Series_63 Exam Syllabus Topics:

Section	Weight	Objectives
Topic 1: Regulation of Broker-Dealers and Agents		- Agent conduct and obligations 1. Customer communications 2. Compensation and transaction rules - Broker-Dealer definitions and requirements 1. BD registration criteria 2. Agent registration criteria
Topic 2: Ethical Practices and Fiduciary Obligations	40%	- Ethics in securities business 1. Anti-fraud provisions 2. Fiduciary duties and conflicts of interest - Client-related rules 1. Client funds and securities handling 2. Disclosure and suitability principles
Topic 3: Regulation of Investment Advisers and Representatives		- Investment Adviser Representatives 1. IAR registration requirements 2. Post-registration obligations - Investment Adviser registration 1. State vs federal covered advisers 2. De minimis exemption
Topic 4: State Securities Acts and Related Rules	60%	- Administrator Powers 1. Cease and desist orders and enforcement 2. Rulemaking and investigations - Uniform Securities Act principles 1. Registration of securities and exemptions 2. State jurisdiction and definitions

FINRA Uniform Securities Agent State Law Examination Sample Questions:

Question #1

The settlement date refers to

A. the date the buyer must pay for the securities purchased.
B. the latest date on which broker-dealers can file their quarterly financial statements with the
Administrator of the state.
C. the date the order to purchase or sell a security is actually executed. This may differ from the date that
the order is sent to the market in the cases of limit or stop orders.
D. the date the order to purchase or sell the security is sent to the market.

Reveal Solution Discussion 0

Correct Answer: A 🗳️