Exam Name: Uniform Securities Agent State Law Examination
Certification Provider: FINRA
Corresponding Certification: Uniform Securities State Law
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FINRA Series63 Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Topic 1: Regulation of Investment Advisers and Agents | - Registration requirements for agents - Broker-dealer regulation and supervision |
| Topic 2: State Securities Acts and Regulations | - Registration of securities and exemptions - Uniform Securities Act (USA) framework |
| Topic 3: Ethical Practices and Fiduciary Responsibilities | - Disclosure obligations and client protection - Prohibited practices and fraud prevention |
| Topic 4: Administrative Provisions and Enforcement | - State enforcement powers and penalties - Recordkeeping and reporting requirements |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
In an arrangement between MoeMoney Investment Advisers and one of the firm's clients, the YourMoney mutual fund, part of MoeMoney's compensation is based how the fund performs compared to the S&P 500 Index. If the return on the fund exceeds the return on the index, MoeMoney gets a bonus. The S&P 500 had a return of negative 8% this year, and the fund returned a negative 2%, so MoeMoney invoiced the client for the bonus.
Has MoeMoney violated any securities laws?
- A. No. The fund beat the return on the S&P 500 Index, so MoeMoney is entitled to the bonus, based on its agreement with YourMoney.
- B. Yes. It is a violation of the Uniform Securities Act for an investment adviser to earn a bonus if a portfolio it manages loses money.
- C. Yes. An investment adviser's compensation cannot be based on the capital appreciation of the portfolio.
- D. Yes. Under no circumstances can a bonus be part of an investment adviser's compensation package according to the Uniform Securities Act.
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Alter Advisers & Associates is a small investment adviser partnership registered only in a single state. One of the partners has died, and the surviving spouse has sold that partnership interest to the surviving partners.
Which of the following statements are true?
I. Alter Advisers must inform the state Administrator of this event.
II. Alter Advisers must inform the SEC of this event.
III. Alter Advisers must notify the firm's clients of this event.
- A. I and III only
- B. I only
- C. I, II, and III
- D. I and II only
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Which of the following would be considered an "issuer" transaction?
- A. Maria purchases 500 shares of Dodge and Cox's International Fund, a mutual fund investing in foreign securities.
- B. Kim sells an AT&T bond she holds that still has three years remaining to maturity.
- C. Jacob calls his broker and places an order to purchase 100 shares of Hasbro, Inc. on the open market.
- D. None of the above is an "issuer" transaction.
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Nancy's Aunt Ethel died, making Nancy executrix of her estate. In going through Aunt Ethel's belongings, Nancy discovered some stock certificates that she learned had been issued by a small New Jersey firm that was still in business. The problem lay in the fact that Nancy's Aunt Ethel had moved from New Jersey to Florida years ago, and the stock is registered only in the state of New Jersey. Nancy herself is a resident of Massachusetts.
What does Nancy have to do in order to sell this stock?
- A. Nancy can sell the stock without a problem as executrix of her aunt's estate.
- B. Nancy will need to contact a broker-dealer licensed in the state of New Jersey to help her with the sale of this stock.
- C. Nancy will need to contact a securities law firm in Florida to help her register the stock in the state of Florida.
- D. Nancy will have to establish a mailing address in New Jersey before she can legally sell this stock.
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Assuming the security is not registered under the Uniform Securities Act, which of the following would not be exempt from state registration?
- A. a put option on a stock that sells in the over-the-counter market
- B. a variable annuity contract offered by an insurance company with offices in the state
- C. a stock that is listed on the OTC Bulletin Board
- D. a stock that is listed on the American Stock Exchange
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