Try and practice the latest FINRA : Series_63 real questions & answers
Last Updated: Oct 04, 2026
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FINRA Series_63 Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Topic 1: Registration Procedures and Requirements | - Registration process for agents and broker-dealers - State notice filings and renewals |
| Topic 2: State Securities Acts and Related Rules | - Registration of securities, broker-dealers, agents, and investment advisers - Exempt securities and exempt transactions - Definitions and terminology under Uniform Securities Act |
| Topic 3: Regulatory Provisions and Compliance | - Ethical practices and fiduciary obligations - Enforcement actions and penalties - Recordkeeping and administrative provisions |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
You have recently discovered that a security you purchased has not been registered with the state, nor is
it exempt from registration. You can file a civil claim against the seller as long as you do so within
- A. two years from discovery or three years from the event, whichever comes first.
- B. three years from discovery or five years from the event, whichever comes first.
- C. one year from discovery.
- D. five years.
Correct Answer: A 🗳️
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In which of the following cases is an investment adviser allowed to be compensated with a share of the
capital gains of the client's portfolio?
I. The client is a mutual fund.
II. The client is a credit union.
III. The client is a private client whose minimum net worth is $1 million or more.
IV. The client is a private client who has at least $750,000 invested through the investment adviser.
- A. I, II, and IV only
- B. I and II only
- C. none of the above. An investment adviser is never allowed to share in the capital gains earned on
- D. I, II, and III only
Correct Answer: A 🗳️
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Joe Romeo is a broker-dealer registered with the state. He has recently hired Betty Buxom as his
administrative assistant. As part of her duties, he has given her the responsibility for effecting the
purchases and sales of securities for some of his firm's smaller accounts. Ms. Buxom has never applied
for nor been granted registration as a broker-dealer or agent. Based on these facts,
- A. the Administrator is required by the Uniform Securities Act to revoke Joe Romeo's registration and file
criminal and civil charges against him. - B. there is no problem as long as Ms. Buxom registers with the state as an agent within thirty days.
- C. the Administrator may elect to revoke or suspend Joe Romeo's registration, and Joe may also face
both civil and criminal penalties. - D. the Administrator is required to turn the case over to the state's district attorney, who will file criminal
charges against both Joe Romeo and Betty Buxom.
Correct Answer: C 🗳️
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For how long after the effective date is a security's registration valid?
- A. six months
- B. one year
- C. three months
- D. two years
Correct Answer: B 🗳️
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Broker-dealer Nebulous opted to withdraw its registration with the state. Six months later, the
Administrator finds that Nebulous had been engaged in fraudulent securities transactions. Which of the
following statements is true?
- A. The Administrator has five years from the discovery of the misdeed to take disciplinary action, so
Nebulous will have to be on the lookout for a long time to come. - B. The Administrator can take disciplinary action against Nebulous for up to one year, so Nebulous is in
trouble. - C. The Administrator is only able to take disciplinary action if the misdeeds are discovered within three
months of the effective date of the withdrawal, so Nebulous slipped by this time. - D. The Administrator is unable to take disciplinary action against Nebulous because the self-initiated
withdrawal became effective 30 days after the application was filed.
Correct Answer: B 🗳️
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