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FINRA Uniform Securities Agent State Law Examination : Series63
- Exam Code: Series63
- Exam Name: Uniform Securities Agent State Law Examination
- Updated: Sep 11, 2026
- Q & A: 251 Questions and Answers
About FINRA Series63 Exam Questions
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FINRA Series63 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Ethical Practices and Obligations | 25% | - Conflicts of interest and fiduciary duties - Fraudulent and unethical conduct |
| Communication with Customers and Prospects | 20% | - Advertising and correspondence rules - Disclosure requirements |
| Regulation of Broker-Dealer Agents | 13% | - Agent registration requirements - Associated person regulations |
| Regulations of Securities and Issuers | 9% | - Securities registration and exemptions - Issuer regulation principles |
| Regulation of Investment Advisers | 5% | - Investment adviser registration rules - Federal vs state adviser regulation |
| Remedies and Administrative Provisions | 9% | - Enforcement and penalties - State Administrator authority |
| Regulation of Investment Adviser Representatives | 5% | - IAR registration and obligations - Recordkeeping and contract standards |
| Regulation of Broker-Dealers | 12% | - Broker-dealer regulatory requirements - Federal and state registration standards |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
Question #1
Carrie is a registered agent employed by CanDo Broker-Dealers. Her uncle is a minister who regularly refers his parishioners to Carrie, in return for which Carrie has agreed to donate a quarter of her commissions from these transactions to the parish.
Is Carrie doing anything illegal?
- A. No. Carrie is just donating some of her commissions back to the church, and transactions with
- B. Yes. Carrie is splitting her commissions with an entity that is not affiliated with her broker-dealer
- C. It depends. If the church itself is a client of CanDo's, then it is considered to be affiliated with
- D. It depends. As long as the church parishioners are aware of the arrangement between Carrie and
Correct Answer: B 🗳️
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Question #2
Investment Adviser Foo Lish, LLC has begun serving as a custodian of its clients' assets. Foo Lish, LLC must now
I. file a new U-5 form with the Administrator.
II. meet higher net capital requirements than before.
III. file an updated Form ADV with the Administrator.
IV. pay a CPA to do an annual unannounced audit of the firm.
- A. II, III, and IV only
- B. I, II, III, and IV
- C. I and II only
- D. II and III only
Correct Answer: A 🗳️
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Question #3
Rich Quick is a broker-dealer registered in the state of Massachusetts. He occasionally trades on abnormalities he observes in bond yield spreads for his own account, short selling a bond that appears to be overpriced based on its yield and buying a bond that is identical in almost every respect except for the price, which is less than that of the other bond. He has been able to earn arbitrage profits 95% of the time when he does this. Rich Quick
- A. is skilled if he is able to earn profits 95% of the time using this strategy.
- B. is trading on insider information, which is a violation of securities laws.
- C. is in violation of securities laws. Arbitrage is a prohibited activity.
- D. engaged in a fraudulent activity.
Correct Answer: A 🗳️
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Question #4
Moe is a registered investment adviser doing business under the name of MoeMoney Investment Advisers, LLC. Larry, Curly, and Mary all hold positions with the firm. Larry is on the board of directors; Mary is a sales representative for the firm; and Curly is an administrative assistant, who performs clerical duties.
Given that Moe is already a registered investment adviser, which of the other three are automatically registered as investment adviser representatives?
- A. Larry only
- B. Larry, Mary and Curly
- C. Mary and Curly only
- D. Larry and Mary only
Correct Answer: A 🗳️
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Question #5
Which of the following does not describe a prohibited practice for broker-dealers under the NASAA Model Rules?
I. SecureMoney Broker-Dealers has received a request from a client who wants SecureMoney to "identify a few solid firms in the Asian market and invest up to $20,000 in them." SecureMoney executes the purchases and receives the requisite signed discretionary authorization from the client before the settlement date.
II. CanDo Broker-Dealers executes a margin transaction for a client, promptly receiving a signed, written margin agreement from the client after the transaction takes place.
III. GetErDone Broker-Dealers receives a call from a client who wants to purchase some securities on margin.
GetErDone has the client come into the office to sign a properly executed margin agreement prior to effecting the transaction.
- A. None of the selections are prohibited practices.
- B. I and III only
- C. II and III only
- D. III only
Correct Answer: C 🗳️
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