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Last Updated: Sep 09, 2026
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FINRA Series63 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Regulations of Agents and Broker-Dealers | 25% | - Recordkeeping and reporting obligations - Registration requirements and exemptions - Supervision and compliance responsibilities |
| Topic 2: Prohibited Practices and Ethical Obligations | 20% | - Administrative remedies and enforcement - Fraudulent and unethical business conduct - Disclosure and fair dealing |
| Topic 3: State Securities Acts and Related Rules & Regulations | 40% | - Regulation of broker-dealers and agents - Definitions and jurisdiction - Regulation of investment advisers and representatives - Registration of securities and exemptions |
| Topic 4: Regulations of Investment Advisers and Representatives | 15% | - Advertising and recordkeeping rules - Fiduciary duties and disclosure requirements - Registration and exclusions |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
A-2-Z Associates is a full service brokerage and is also in the investment advisory industry, charging its clients for investment advice for additional remuneration.
Which of the following statements is true?
- A. A-2-Z can charge the client only an advisory fee when it is serving as an investment adviser; no commissions may be collected.
- B. A-2-Z can charge the client both an advisory fee for its advice and a commission for the execution of a trade based on that advice, but it must inform the client of its potential conflict of interest in doing so and get the client's written consent.
- C. A-2-Z can charge the client both an advisory fee for its advice and a commission on any trade the client makes based on the advice. This is all laid out in the advertising brochures full service brokerage firms like A-2-Z provide their prospective clients.
- D. A-2-Z can charge an individual client an advisory fee for its advice or a commission when it executes a trade that the client makes based on that advice, but not both.
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Which of the following persons falls under the definition of "broker-dealer," as defined by the Uniform Securities Act (USA)?
- A. Michaela is employed by GetErDone broker-dealers and sells both exempt and non-exempt securities to GetErDone's clients.
- B. Juan 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.
- C. MyTrades is a sole proprietorship owned by Nathan Newmoney, who has established the firm solely to make trades on his own account, thereby avoiding the commissions he would have to pay a middleman.
- D. Marge is a loan officer at Treadwater Bank and Trust.
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An investment adviser or its representative may
- A. exercise discretionary power in the purchase or sale of securities for a client's account as long as.
- B. only exercise any discretionary power in the purchase or sale of securities for a client's account after receiving written authority prior to the execution of the transactions.
- C. exercise discretionary power in the purchase or sale of securities for a client's account only after.
- D. exercise discretionary power in the purchase or sale of securities for a client's account as long as it receives written discretionary authority over the account within 10 business days of the first discretionary transaction placed, assuming oral authority has already been given.
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"T + 3" refers to
- A. the form that is filled out and sent to the client confirming that the trade has been executed.
- B. the fact that the settlement date will be three business days after the trade date, which is the "regular way settlement" for transactions involving stocks and corporate and municipal bonds.
- C. a procedure to minimize the potential for money laundering.
- D. the form, also known as a "trade ticket," that is filled out when an order is entered into the market.
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Which of the following statements regarding the registration of broker-dealers and investment advisers is true?
- A. Investment advisers must always be registered with the SEC to conduct business; broker-dealers may be registered with either an individual state or the SEC or both.
- B. Investment advisers are required to register with both the state and the SEC, while broker-dealers may be registered with only one or the other.
- C. Investment advisers are required either to be registered with a state or with the SEC, while broker-dealers must be registered both with the SEC and the state.
- D. Both investment advisers and broker-dealers must be registered with the SEC and with the states in which they have offices.
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