FINRA : Series63 Questions & Answers
Updated: Sep 18, 2026
No. of Questions: 251 Questions & Answers with Testing Engine
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FINRA Series63 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Regulation of Investment Advisers | 5% | - Federal vs state adviser regulation - Investment adviser registration rules |
| Topic 2: Remedies and Administrative Provisions | 9% | - Enforcement and penalties - State Administrator authority |
| Topic 3: Regulation of Broker-Dealer Agents | 13% | - Associated person regulations - Agent registration requirements |
| Topic 4: Regulations of Securities and Issuers | 9% | - Securities registration and exemptions - Issuer regulation principles |
| Topic 5: Regulation of Investment Adviser Representatives | 5% | - Recordkeeping and contract standards - IAR registration and obligations |
| Topic 6: Ethical Practices and Obligations | 25% | - Conflicts of interest and fiduciary duties - Fraudulent and unethical conduct |
| Topic 7: Regulation of Broker-Dealers | 12% | - Broker-dealer regulatory requirements - Federal and state registration standards |
| Topic 8: Communication with Customers and Prospects | 20% | - Disclosure requirements - Advertising and correspondence rules |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
Mr. and Mrs. Cleaver are nearing retirement and have made an appointment with Mr. Eddie, an investment adviser representative who works for Haskell Investment Advisers, to get advice on how they can better structure their investments to meet their retirement goals. Their son, Theodore, who has recently graduated college and has a great job as a software writer for a video game company, accompanies them. Mr. Eddie explains that the main goal of any plan is diversification and recommends that Mr. and Mrs. Cleaver spread their investment monies equally among six load mutual funds that Mr. Eddie can sell them. He suggests that Theodore follow suit and invest any monies he has equally among the same ten funds.
Has Mr. Eddie done anything wrong?
- A. Yes. Mr. Eddie is guilty of misappropriation, a prohibited practice.
- B. Yes. Mr. Eddie has advised his clients to invest in load funds when no load funds are clearly better investments.
- C. Yes. Clients who are ready to retire have different investment needs than a client who is just entering the work force. The recommendation that both Theodore and his parents have the same asset allocation is clearly unsuitable.
- D. No. Diversification should, in fact, be the goal, and he has advised a well-diversified plan for his clients.
Correct Answer: C 🗳️
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Which of the following constitutes a non-punitive order?
- A. All of the above are punitive orders.
- B. registration denial
- C. registration cancellation
- D. summary license suspension
Correct Answer: C 🗳️
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Painting the tape refers to
- A. the prohibited practice of excessively trading on a client's account that is used by some broker-dealers and/or their agents to generate more commissions for themselves.
- B. the illegal activity of a group of investors who buy and sell a security among themselves to create an artificially high volume of trading in hopes of luring investors to buy the security.
- C. the practice of buying large amounts of a security to drive its price up artificially.
- D. the unethical practice of investment advisers who issue "buy" recommendations for stocks that they own themselves without disclosing the fact.
Correct Answer: B 🗳️
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Which of the following is not one of the criteria for a security to be eligible for registration by notification?
- A. The issuer must have preferred stockholders as well as common stockholders.
- B. If the security to be issued is an equity interest in the firm, its offer price has to be at least $5 a
- C. The issuer must have a net worth of $4 million, or its net income before tax for at least two of the
- D. The issuer must never have defaulted on any bond or long-term lease obligation.
Correct Answer: A 🗳️
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Which of the following is an example of a non-issuer transaction?
- A. IBM sells a new issue of bonds to an insurance company.
- B. Jose purchases a 10-year bond issued by Progress Energy when it has 6 years remaining to maturity.
- C. Google offers more shares of its stock for sale to the public.
- D. NewCorp, which has been a privately held company, is engaging in an initial public offering (IPO) of its stock.
Correct Answer: B 🗳️
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