FINRA Series63 : Uniform Securities Agent State Law Examination
- Exam Code: Series63
- Exam Name: Uniform Securities Agent State Law Examination
- Updated: Sep 11, 2026
- Q & A: 251 Questions and Answers
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FINRA Series63 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| State Securities Acts and Related Rules & Regulations | 40% | - Definitions and jurisdiction - Regulation of broker-dealers and agents - Registration of securities and exemptions - Regulation of investment advisers and representatives |
| Prohibited Practices and Ethical Obligations | 20% | - Fraudulent and unethical business conduct - Administrative remedies and enforcement - Disclosure and fair dealing |
| Regulations of Investment Advisers and Representatives | 15% | - Advertising and recordkeeping rules - Fiduciary duties and disclosure requirements - Registration and exclusions |
| Regulations of Agents and Broker-Dealers | 25% | - Recordkeeping and reporting obligations - Supervision and compliance responsibilities - Registration requirements and exemptions |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
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 latest date on which broker-dealers can file their quarterly financial statements with the Administrator of the state.
- D. the date the order to purchase or sell the security is sent to the market.
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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 only
- B. Selection I and III only
- C. Selection III only
- D. All of the selections would be exempt from state registration requirements under the Uniform
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Jeremy Sly considered himself somewhat of an inventor. The only problem was that his day job interfered with his opportunity to exercise his creativity. He came up with a plan to get outside investors to support his inventive activities. To this end, he produced and distributed a brochure advertising partnership interests with a guaranteed return on investment of at least 15% after the first 12 months, based on what he had allegedly generated from his other (non-existent) inventions.
Given these facts, is Jeremy guilty of any security violations under the Uniform Securities Act (USA)?
- A. Yes. Even an "offer" to sell securities must not contain any untruths.
- B. No. An interest in a partnership is not considered a security.
- C. No. The facts don't indicate whether any partnership interests were actually sold, and there can be no violation unless there is a sale.
- D. No. It is not against the law to believe in oneself and promote one's ideas.
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Which of the following may be given to prospective investors during the "cooling off period?"
- A. all of the above
- B. a tombstone advertisement
- C. a final prospectus
- D. a copy of the registration statement
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Barring no irregularities (such as a license revocation by another state last year), after you have filed for registration as an agent, your license will be granted within
- A. 10 business days.
- B. 14 business days.
- C. 30 days.
- D. 45 days.
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