- Exam Code: Series_63
- Exam Name: Uniform Securities Agent State Law Examination
- Certification Provider: FINRA
- Corresponding Certification: FINRA Certification
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Updated: Sep 05, 2026
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FINRA Series_63 Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| State Securities Acts and Related Rules | - Definitions and terminology under Uniform Securities Act - Exempt securities and exempt transactions - Registration of securities, broker-dealers, agents, and investment advisers |
| Registration Procedures and Requirements | - State notice filings and renewals - Registration process for agents and broker-dealers |
| Regulatory Provisions and Compliance | - Enforcement actions and penalties - Ethical practices and fiduciary obligations - Recordkeeping and administrative provisions |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
Jack and Jill are a newly married couple in their mid-20s. They are determined to retire by the time they
are 50 and have arranged a meeting with a representative of Professional Investment Advisers to
structure a financial plan that will allow them to achieve this goal.
The representative, Mr. Hill, advises them to invest at least 60% of their money in bond funds to minimize
the risk of loss on the way to their goal. Mr. Hill has
- A. made an unsuitable recommendation for these clients and is subject to license suspension or
revocation. - B. advised Jack and Jill well with a conservative allocation of their money to preserve principal.
- C. has committed fraud in promoting their delusion that they can possibly expect to retire by the time they
turn 50, regardless of their investment strategy. - D. committed fraud in indicating that bonds are less risky than stocks.
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Which of the following statements regarding "registration by qualification" is true?
- A. Registration by qualification refers to the fact that certain categories of securities are exempt from state
registration requirements. - B. Registration by qualification is the preferred method used by issuers since it requires the least amount
of paperwork. - C. Registration by qualification refers to the fact that the highest quality bonds, i.e., those with a AAA
rating, are exempt from registration with the state. - D. In its simplest form, registration by qualification requires the issuer to supply voluminous amounts of
information about both the firm and its directors, officers, and major shareholders.
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Big Bo is an investment adviser representative who has a lot of the members of a well-known professional
football team as clients. In advertising his services, Big Bo can
- A. list the names of the players he's advising as long as he has their written permission to do so.
- B. use testimonials from any of the players who willingly provide them without compensation.
- C. list the names of the players he's advising as long as he lists the names of all his other clients, too.
- D. list the names of the players he's advising as long as he doesn't provide any other specifics, such as
the amount each one has invested with him.
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Stable Corporation registered a bond issue that it plans to offer for sale in the state with the Administrator.
The bond has a par value of $1,000 and will pay interest of 7% a year, with the principal to be repaid in 5
years. The registration became effective on September 8th. The registration is effective
- A. until the maturity date on the bond.
- B. for one full year.
- C. for two full years.
- D. until December 31st of the same year
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Layered Corporation wants to issue a bond that will have warrants attached. Each warrant gives the
holder the right to buy 5 shares of Layered's common stock at a price stipulated on the warrant. In this
instance, Layered must file to register which of the following securities with the state?
I. the bonds
II. the warrants
III. the common stock
- A. I only
- B. I, II, and III
- C. I and II only
- D. I and III only
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