- Exam Code: Series63
- Exam Name: Uniform Securities Agent State Law Examination
- Certification Provider: FINRA
- Corresponding Certification: Uniform Securities State Law
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Updated: Sep 06, 2026
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FINRA Series63 Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Topic 1: Administrative Provisions and Enforcement | - Recordkeeping and reporting requirements - State enforcement powers and penalties |
| Topic 2: State Securities Acts and Regulations | - Registration of securities and exemptions - Uniform Securities Act (USA) framework |
| Topic 3: Ethical Practices and Fiduciary Responsibilities | - Prohibited practices and fraud prevention - Disclosure obligations and client protection |
| Topic 4: Regulation of Investment Advisers and Agents | - Registration requirements for agents - Broker-dealer regulation and supervision |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
Which of the following describes a prohibited practice in the sale of shares of investment companies?
I. Sandy Slacker hands her client the fund's prospectus and tells him that the prospectus will provide him all that he needs to know about loads and fees associated with the fund.
II. Elliot Eager tells a client who has an investment objective that includes current income that a certain bond fund has a current yield of 8% and provides the client with a prospectus so that the client can peruse the average annual returns that the fund has generated in past years when the client has the time.
III. After explaining all the fees and loads involved in two different bond funds as well as the difference between current yield and total return, Patty shows the client the data on the average annual returns that the two bond funds provided. She explains to the client that the municipal bond fund has a lower yield than the similar-risk corporate bond fund because the interest income the client will receive from the municipal bond fund will be free from federal taxation, while the interest income on the corporate bond fund is fully taxable.
- A. I only
- B. All the choices describe prohibited practices in the sale of shares of investment companies.
- C. I and II only
- D. I and III only
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An investment adviser may not
- A. take a position-either long or short-in securities in which any of its clients have a position.
- B. accept any kind of soft dollar compensation for using certain broker-dealers to execute trades on their clients' accounts.
- C. recommend a stock to a client that the adviser itself holds without disclosing to the client that the adviser owns the stock.
- D. also be registered as a broker-dealer in the state.
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You are employed as an agent with CanDo Broker-Dealers. Your brother is software engineer with VideoMagic. When you were talking to him on the phone the other day, he told you that he overheard a conversation by some of the firm's executives that indicated that VideoMagic was about to take over another software company.
Which of the following would violate insider trading rules?
I. The next day, you get an unsolicited call from a client requesting that you sell his shares in Video Magic, and you execute the trade.
II. You buy stock in Video Magic's target firm in anticipation that its stock price will rise when the information becomes public.
III. You recommend the stock of Video Magic's target firm to investors based on the fact that, on average, the stock price of target firms increases.
- A. I and II only
- B. I and III only
- C. I, II and III
- D. II and III only
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The Uniform Securities Act (USA) is
- A. a group of laws requiring state-issued securities, such as municipal bonds, to be registered with.
- B. federal legislation that requires all states to adopt the same registration requirements for all.
- C. a body of laws governing the purchase and sale of securities within a single state.
- D. a set of guidelines for individual states to follow when formulating their own securities' laws.
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Nancy's Aunt Ethel died, making Nancy executrix of her estate. In going through Aunt Ethel's belongings, Nancy discovered some stock certificates that she learned had been issued by a small New Jersey firm that was still in business. The problem lay in the fact that Nancy's Aunt Ethel had moved from New Jersey to Florida years ago, and the stock is registered only in the state of New Jersey. Nancy herself is a resident of Massachusetts.
What does Nancy have to do in order to sell this stock?
- A. Nancy will have to establish a mailing address in New Jersey before she can legally sell this stock.
- B. Nancy will need to contact a securities law firm in Florida to help her register the stock in the state of Florida.
- C. Nancy will need to contact a broker-dealer licensed in the state of New Jersey to help her with the sale of this stock.
- D. Nancy can sell the stock without a problem as executrix of her aunt's estate.
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