Prepare with FINRA Series_63 exam torrent, pass for sure
Last Updated: Sep 14, 2026
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FINRA Series_63 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Regulation of Investment Advisers and Representatives | - Investment Adviser registration
| |
| Regulation of Broker-Dealers and Agents | - Agent conduct and obligations
| |
| State Securities Acts and Related Rules | 60% | - Uniform Securities Act principles
|
| Ethical Practices and Fiduciary Obligations | 40% | - Ethics in securities business
|
FINRA Uniform Securities Agent State Law Examination Sample Questions:
Which of the following entities are subject to post-registration provisions?
I. broker-dealers
II. agents
III. investment advisers
IV. investment adviser representatives
- A. All of the entities are subject to post-registration provisions.
- B. I and III only
- C. II and IV only
- D. I and II only
Correct Answer: B 🗳️
Explanation: Only visible for Test4Sure members. You can sign-up / login (it's free).
Ms. Ding is an administrative assistant to the manager of a mutual fund. Most of her day is spent entering
data onto a spreadsheet for her boss and answering phone calls. Some of the calls require her to provide
information about the some of the fund's financial aspects, such as its closing net asset value on the
previous day. What type of registration does Ms. Ding require in order to perform her duties?
- A. Ms. Ding needs to apply for registration as an agent since she is providing financial information.
- B. Ms. Ding does not need to apply for any type of registration. She is merely supplying information and is
not engaged in the purchase or sale of the fund shares. - C. Ms. Ding will need to apply for registration as both an agent and an investment adviser representative
in this case since she is providing information about a mutual fund. - D. Ms. Ding needs to apply for registration as an investment adviser representative since she is providing
information about a specific mutual fund.
Correct Answer: B 🗳️
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A broker-dealer is required to keep his records for how long?
- A. at least seven years
- B. A broker-dealer is required to keep his records for as long as he is registered in the state.
- C. at least three years
- D. at least five years
Correct Answer: C 🗳️
Explanation: Only visible for Test4Sure members. You can sign-up / login (it's free).
An investment adviser may not
- A. recommend a stock to a client that the adviser itself holds without disclosing to the client that the
adviser owns the stock. - B. accept any kind of soft dollar compensation for using certain broker-dealers to execute trades on their
clients' accounts. - C. also be registered as a broker-dealer in the state.
- D. take a position-either long or short-in securities in which any of its clients have a position.
Correct Answer: A 🗳️
Explanation: Only visible for Test4Sure members. You can sign-up / login (it's free).
Sam Shyster had his day in court-and lost. His license to do business as an investment adviser in the
state has been revoked. What legitimate options does Sam have available to him now?
- A. Sam can move to another state and apply for registration as an investment adviser there.
- B. Sam can register with the SEC as an investment adviser, which will exempt him from state registration
requirements. - C. Sam has 45 days in which to file an appeal with the attorney general.
- D. Sam has 60 days to file an appeal of the decision in a court of law.
Correct Answer: D 🗳️
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