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FINRA Uniform Securities Agent State Law Examination : Series_63
- Exam Code: Series_63
- Exam Name: Uniform Securities Agent State Law Examination
- Updated: Sep 06, 2026
- Q & A: 255 Questions and Answers
About FINRA Series_63 Exam Questions
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FINRA Series_63 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Regulation of Broker-Dealers and Agents | - Agent conduct and obligations
| |
| Regulation of Investment Advisers and Representatives | - Investment Adviser registration
| |
| Ethical Practices and Fiduciary Obligations | 40% | - Client-related rules
|
| State Securities Acts and Related Rules | 60% | - Uniform Securities Act principles
|
FINRA Uniform Securities Agent State Law Examination Sample Questions:
Question #1
Which of the following statements best explains the difference between an agent and a broker-dealer?
- A. A broker-dealer must be licensed in the state in which he conducts business, but there are no separate
licensing requirements for agents. - B. An agent is an individual who represents a broker-dealer or an issuer and buys and sells securities he
does not own in return for a commission on the transactions he executes. A broker-dealer may also buy
and sell securities for his own portfolio, in which case the broker-dealer enjoys any price appreciation on
those securities. - C. Agents are engaged exclusively in the purchase and sale of stocks whereas broker-dealers also buy
and sell bonds and option contracts. - D. Agents conduct their business exclusively in the secondary market, while broker-dealers also operate
in the primary market.
Answer: B
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Question #2
An investment adviser may act as a custodian for a client's securities if
I. the Administrator of the state doesn't have a rule prohibiting custodial arrangements.
II. he informs the state Administrator in writing that he will be acting as a custodian for the client.
III. he arranges to pay an independent certified public accountant to perform an unannounced audit of his
books each year so that the accountant can report his findings to the state Administrator.
- A. I, II and III
- B. I only
- C. I and III only
- D. I and II only
Answer: A
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Question #3
Mr. L. Ranger is an agent for a broker-dealer and has overheard "talk" that a merger between two
well-known high-tech companies is about to take place. Mr. Ranger knows that, on average, in these
instances the target firm's price spikes. He calls his client and good friend, Mr. Tonto, and tells him of the
rumor, suggesting that Tonto might want to buy shares in the target firm. He tells Mr. Tonto that if the
rumor isn't true, the target firm's price may not spike at all and may, in fact, decline, and suggests that Mr.
Tonto not invest any money he isn't willing to lose. Mr. Ranger knows that his friend likes to gamble, and
decided he wouldn't be much of a friend if he didn't inform Tonto of this potential opportunity. Has Mr. L.
Ranger violated any laws or engaged in any prohibited practices?
- A. Yes. Mr. Ranger is privy to knowledge that is not available to the general public and both he and Mr.
Tonto will be guilty of illegal insider trading if Mr. Tonto trades on Mr. Ranger's information. - B. No. Mr. Ranger has informed Mr. Tonto that the merger is just a rumor and has informed him of the risk
involved. Mr. Ranger is knowledgeable about his friend's risk tolerance level as well and recognizes this
investment as one his good friend might want to take. - C. Yes. Mr. Ranger has engaged in fraud in telling Mr. Tonto about the rumor, given that the merger hasn't
been officially announced by the two companies. - D. No. Mr. Ranger and Mr. Tonto are friends, so there can be no violations of any laws or practices
because of their non-business relationship.
Answer: B
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Question #4
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. Selection III only
- C. Selection I only
- D. All of the selections would be exempt from state registration requirements under the Uniform
Answer: A
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Question #5
Which of the following scenarios would not be considered a "sale," as defined by the Uniform Securities
Act (USA)?
I. Yoshito owned shares of Minnow Corporation and received shares of Whale Corporation from Whale
when it merged with Minnow.
II. Olivia's uncle, an agent with SecureMoney Brokers, sold Olivia ten call options on the stock of
Microsoft.
III. Hans purchased a bond of Indebted Corporation that had detachable warrants and subsequently sold
the warrants.
IV. Tom pledged some shares of stock he owned personally to secure a business loan for his company.
- A. Neither I nor II would be considered sales.
- B. Neither II nor III would be considered sales.
- C. Neither I nor IV would be considered sales.
- D. Neither III nor IV would be considered sales.
Answer: C
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