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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 06, 2026
- Q & A: 251 Questions and Answers
About FINRA Uniform Securities Agent State Law Examination : Series63 Exam
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FINRA Series63 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Regulation of Broker-Dealers | 12% | - Broker-dealer regulatory requirements - Federal and state registration standards |
| Topic 2: Remedies and Administrative Provisions | 9% | - State Administrator authority - Enforcement and penalties |
| Topic 3: Regulation of Investment Advisers | 5% | - Investment adviser registration rules - Federal vs state adviser regulation |
| Topic 4: Communication with Customers and Prospects | 20% | - Disclosure requirements - Advertising and correspondence rules |
| Topic 5: Ethical Practices and Obligations | 25% | - Fraudulent and unethical conduct - Conflicts of interest and fiduciary duties |
| Topic 6: Regulation of Investment Adviser Representatives | 5% | - IAR registration and obligations - Recordkeeping and contract standards |
| Topic 7: Regulation of Broker-Dealer Agents | 13% | - Agent registration requirements - Associated person regulations |
| Topic 8: Regulations of Securities and Issuers | 9% | - Securities registration and exemptions - Issuer regulation principles |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
Question #1
A limited power-of-attorney gives the designated person the right to
I. order the sale of an asset owned by the account holder and have a check written to the account holder for the amount of the proceeds.
II. obtain account statements, including tax statements, on behalf of the account holder.
III. order the purchase of an asset for the account holder's account.
- A. II and III only
- B. I and III only
- C. I, II, and III
- D. I and II only
Answer: A
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Question #2
Trevor is currently a registered agent in the state of Connecticut where he has been employed by Connect & Company, a broker-dealer that is registered in Connecticut and has subsidiary operations in Massachusetts, New Jersey, and New York. Trevor has moved to Massachusetts and is now associated with one of Connect's subsidiaries, a broker-dealer registered in the state. Trevor has applied to the Administrator of Massachusetts for registration as an agent.
Can Trevor execute purchases and sales for clients while his registration is still pending?
- A. Yes. Because Trevor is a registered agent in another state and is affiliated with a broker-dealer that is registered in the state of Massachusetts, he is not restricted from executing trades.
- B. It depends. Trevor can execute some purchases and sales, but only for clients that he already had who may have recently relocated to Massachusetts and only for sixty days while his registration is pending.
- C. No. Until he is informed by the Administrator of Massachusetts that his application has been accepted, Trevor may not affect any securities transactions in Massachusetts.
- D. Yes. Trevor can execute trades for new clients he solicits, but only for sixty days while his registration is pending.
Answer: B
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Question #3
Which of the following orders can an Administrator issue without providing prior notice?
- A. license suspension
- B. cease and desist
- C. license revocation
- D. license denial
Answer: B
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Question #4
After passing the necessary exams, you must submit which of the following to the state Administrator when applying for registration as an agent?
- A. proof that you meet the state's minimum net capital requirement
- B. Form ADV
- C. a recent photograph of yourself
- D. U-4
Answer: D
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Question #5
Ari Gaunt is a registered agent employed by Small &Associates Broker-Dealers. He has been notified of a hearing regarding the revocation of his license for making unauthorized trades on some of his clients' accounts.
Which of the following statements is necessarily true?
- A. The Administrator of the state can assess Ari with both civil and criminal penalties.
- B. If Ari is found guilty and has his license revoked, Small & Associates will have its license revoked as well and must reapply for reinstatement by filling out an application and paying the requisite filing fees.
- C. If Ari is found guilty and has his license revoked, Small & Associates will be subject to a fine.
- D. If Ari is found guilty and has his license revoked, he can appeal the decision in a court of law if he files the appeal within sixty days.
Answer: D
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