Exam Name: Uniform Securities Agent State Law Examination
Certification Provider: FINRA
Corresponding Certification: FINRA Certification
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FINRA Series_63 Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Registration Procedures and Requirements | - State notice filings and renewals - Registration process for agents and broker-dealers |
| State Securities Acts and Related Rules | - Registration of securities, broker-dealers, agents, and investment advisers - Definitions and terminology under Uniform Securities Act - Exempt securities and exempt transactions |
| Regulatory Provisions and Compliance | - Recordkeeping and administrative provisions - Ethical practices and fiduciary obligations - Enforcement actions and penalties |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
S. White and Associates is an investment adviser registered in the state of Kentucky and, as such, is
meeting Kentucky's minimum net capital requirement for investment advisers. The firm recently registered
with the state of Virginia and has opened an office there. Virginia has a significantly higher net capital
requirement for its investment advisers. Which of the following statements is true?
- A. According to the Uniform Securities Act, S. White will have to meet Virginia's higher requirement.
- B. According to the Securities Exchange Act of 1934, S. White needs to meet at least the minimum net
capital requirement specified by that Act since it is now operating in multiple states. - C. According to the Investment Advisers Act of 1940, S. White will have to maintain a minimum net capital
equal to the average of the net capital requirements of the two states. - D. According to the Investment Advisers Act of 1940, S. White needs only to meet the net capital
requirement of Kentucky.
Correct Answer: D 🗳️
Explanation: Only visible for ExamPrepAway members. You can sign-up / login (it's free).
Which of the following securities would be exempt from state registration requirements, according to the
Uniform Securities Act?
I. a municipal bond issued by the Canadian province of Nova Scotia
II. a bond issued by the county of Cork, Ireland
III. a bond issued by Nationwide Insurance Company
- A. Selection I and III only
- B. All of the selections would be exempt from state registration requirements under the Uniform
- C. Selection I only
- D. Selection III only
Correct Answer: A 🗳️
Explanation: Only visible for ExamPrepAway members. You can sign-up / login (it's free).
To say a security is "exempt," means that
I. it is exempt from the state's anti-fraud laws.
II. it is exempt from state registration requirements.
III. any transaction involving it is considered to be an exempt transaction.
- A. II only
- B. II and III only
- C. I, II, and III
- D. I and II only
Correct Answer: A 🗳️
Which of the following persons would not be required to register with the state as an agent under the
guidelines of the Uniform Securities Act (USA)?
- A. Preetham is part-owner of SecureMoney Broker-Dealers and executes the purchase and sale of
securities for the firm's customers. - B. Stefan is a sales representative for SecureMoney Broker-Dealers and sells only mutual fund shares.
- C. Keith is a salaried employee of Middlesex County in Massachusetts who sells revenue bonds issued by
the county to the public. - D. John is employed by TrustUs Corporation to sell shares of the firm's stock to the firm's employees and
receives a commission on the shares he sells.
Correct Answer: C 🗳️
Explanation: Only visible for ExamPrepAway members. You can sign-up / login (it's free).
The settlement date refers to
- A. the date the buyer must pay for the securities purchased.
- B. 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. - C. the date the order to purchase or sell the security is sent to the market.
- D. the latest date on which broker-dealers can file their quarterly financial statements with the
Administrator of the state.
Correct Answer: A 🗳️
Explanation: Only visible for ExamPrepAway members. You can sign-up / login (it's free).
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