- Exam Code: Series63
- Exam Name: Uniform Securities Agent State Law Examination
- Updated: Oct 16, 2026
- Q & A: 251 Questions and Answers
FINRA Series63 Exam : Uniform Securities Agent State Law Examination
PDF Version DemoAbout FINRA Series63 Exam
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FINRA Series63 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Communication with Customers and Prospects | 20% | - Disclosure requirements - Advertising and correspondence rules |
| Topic 2: Regulation of Investment Advisers | 5% | - Federal vs state adviser regulation - Investment adviser registration rules |
| Topic 3: Regulation of Investment Adviser Representatives | 5% | - Recordkeeping and contract standards - IAR registration and obligations |
| Topic 4: Remedies and Administrative Provisions | 9% | - Enforcement and penalties - State Administrator authority |
| Topic 5: Ethical Practices and Obligations | 25% | - Fraudulent and unethical conduct - Conflicts of interest and fiduciary duties |
| Topic 6: Regulation of Broker-Dealers | 12% | - Federal and state registration standards - Broker-dealer regulatory requirements |
| Topic 7: Regulations of Securities and Issuers | 9% | - Securities registration and exemptions - Issuer regulation principles |
| Topic 8: Regulation of Broker-Dealer Agents | 13% | - Agent registration requirements - Associated person regulations |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
Question #1
In accordance with the National Securities Markets Improvement Act of 1996, which of the following is a federal covered adviser and, therefore, exempt from registering with the state Administrator?
I. An adviser who does business in 26 states.
II. An adviser who manages the portfolio of a mutual fund that is registered with the SEC.
III. An adviser with $35 million in assets under management
- A. All of the selections meet the qualifications of a federal covered adviser.
- B. II and III only
- C. I and III only
- D. I and II only
Correct Answer: B 🗳️
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Question #2
The 1988 Insider and Securities Enforcement Act indicates that a person convicted of insider trading can be subject to which of the following penalties?
- A. up to 7 years in prison and a fine equal to 200% of the amount of profits gained or losses avoided
- B. up to 5 years in prison and a fine of $1,500,000 or both
- C. up to 10 years in prison and a fine of $1 million or up to 3 times the amount of profits gained, or
- D. up to 3 years in prison, a $5,000 fine, or both
Correct Answer: C 🗳️
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Question #3
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. II and III only
- C. I, II, III, and IV
- D. I and II only
Correct Answer: A 🗳️
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Question #4
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 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.
- C. 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.
- 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.
Correct Answer: C 🗳️
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Question #5
Ms. Naivete gave Mr. Smooth, owner of Smooth Construction, $40,000 in return for a promissory note that promised to pay interest at the rate of 8% a quarter, with a repayment of principal at the end of two years. The money would be used by Mr. Smooth to rehab a few beach condo units that had been severely hurricane-damaged and that Mr. Smooth had been able to purchase for "pennies on the dollar," or so he said.
The first units would be completed within a month, and the rents would be used to make the interest payments.
The investment was almost as risk-free as U.S. government bonds, Mr. Smooth claimed. By the end of the second year, Ms. Naivete had received a lot of fast talk and only one of the promised interest payments.
Have there been any violation of securities laws in this instance?
- A. Yes. Mr. Smooth was required to register the promissory note before he offered it for sale.
- B. Yes. Ms. Naivete has been defrauded by Mr. Smooth.
- C. No. This was simply a loan transacted between two parties.
- D. Both B and C are true statements.
Correct Answer: D 🗳️
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