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Instant Download FINRA : Series_63 Questions & Answers as PDF & Test Engine
- Exam Code: Series_63
- Exam Name: Uniform Securities Agent State Law Examination
- Updated: Sep 16, 2026
- No. of Questions: 255 Questions and Answers
- Download Limit: Unlimited
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FINRA Series_63 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Ethical Practices and Fiduciary Obligations | 40% | - Client-related rules
|
| Regulation of Investment Advisers and Representatives | - Investment Adviser Representatives
| |
| State Securities Acts and Related Rules | 60% | - Administrator Powers
|
| Regulation of Broker-Dealers and Agents | - Agent conduct and obligations
|
FINRA Uniform Securities Agent State Law Examination Sample Questions:
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. also be registered as a broker-dealer in the state.
- C. recommend a stock to a client that the adviser itself holds without disclosing to the client that the
adviser owns the stock. - D. accept any kind of soft dollar compensation for using certain broker-dealers to execute trades on their
clients' accounts.
Correct Answer: C 🗳️
Explanation: Only visible for BraindumpsPass members. You can sign-up / login (it's free).
Which of the following compensation arrangements between an investment adviser and an individual
client with a net worth of $600,000 would be disallowed?
- A. The investment adviser will receive 0.1% of the gross capital gains earned on the portfolio each
quarter. - B. The client agrees to pay the investment adviser an hourly fee of $60.00.
- C. All of the above are legitimate compensation arrangements between and investment adviser and an
individual client with a net worth of $600,000. - D. The investment adviser will receive 0.1% of the total value of the client's assets under management as
of the end of each month.
Correct Answer: A 🗳️
Explanation: Only visible for BraindumpsPass members. You can sign-up / login (it's free).
When selling shares in a closed-end investment company, an agent must inform the client of any
I. commissions
II. underwriting fees
III. miscellaneous offering expenses
- A. I and II only
- B. I and III only
- C. I, II and III
- D. I only
Correct Answer: C 🗳️
Explanation: Only visible for BraindumpsPass members. You can sign-up / login (it's free).
You are a registered agent with a broker-dealer. One of your clients visits you and wants you to sell some
of the U.S. government bonds she owns and purchase shares of a specific aggressive growth mutual fund
for her with the proceeds. Your client is a mentally-competent, 84-year-old woman but, based on your
other knowledge of her situation, you believe it to be an unwise move. You should
- A. nod politely, but not execute the transactions since they are not in her best interest.
- B. call the mutual fund and tell them that they must convince this client that an investment in their fund is
not in her best interest, under penalty of law. - C. turn the matter over to your supervisor.
- D. advise her that you don't believe this is in her best interest, but execute the required transactions if she
insists.
Correct Answer: D 🗳️
Explanation: Only visible for BraindumpsPass members. You can sign-up / login (it's free).
Skip is a registered agent with state. He recently quit his job with Venus Broker-Dealers to become
affiliated with Mars Broker-Dealers. Which of the three entities must report this change to the state
Administrator?
- A. Skip only
- B. Both Skip and Venus
- C. Skip, Mars, and Venus
- D. Skip and either Mars or Venus, but not both
Correct Answer: C 🗳️
Explanation: Only visible for BraindumpsPass members. You can sign-up / login (it's free).
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