Uniform Securities Agent State Law - Series 63 Practice Test

Series63 test Format | Course Contents | Course Outline | test Syllabus | test Objectives

Exam Code: Series63
Exam Name: Uniform Securities Agent State Law - Series 63
Vendor: NASAA
Number of Questions: 65 multiple-choice questions (60 scored; 5 unscored pretest questions). The pretest questions are indistinguishable and may appear anywhere in the exam.
Time Limit: 75 minutes.
Passing Score: 72% (correctly answer at least 43 of the 60 scored questions).

Regulations of Investment Advisers- Including State-Registered and Federal Covered Advisers

- Definition of an Investment Adviser: Persons or entities providing advice on securities for compensation; exclusions (e.g.- banks- lawyers- accountants under certain conditions); distinction from broker-dealers.
- State Registration Requirements: Application process via IARD (Investment Adviser Registration Depository); minimum financial requirements (e.g.- net capital- surety bonds); recordkeeping obligations (e.g.- maintaining books and records for 5 years); brochure rule (delivery of Form ADV Part 2).
- Federal Covered Advisers: Definition (advisers registered with SEC under Investment Advisers Act of 1940); state notice filing requirements (e.g.- submitting Form ADV- fees); anti-fraud provisions applicable via state laws; exemptions from state registration.
- Exemptions and Exclusions: De minimis exemption (limited clients in state); private fund advisers; exemptions for advisers to venture capital funds.
- Post-Registration Obligations: Renewals- amendments to Form ADV; custody rules (e.g.- qualified custodians- surprise audits); proxy voting policies; code of ethics.
- Prohibited Practices: Fraud- misrepresentation; conflicts of interest (e.g.- disclosure of affiliations); excessive fees.
- State vs. Federal Coordination: NSMIA (National Securities Markets Improvement Act) preemption; state authority over anti-fraud and notice filings.

Regulations of Investment Adviser Representatives

- Definition of Investment Adviser Representative (IAR): Solicitors or those giving advice for compensation; supervisory roles.
- Registration Requirements: Filing Form U4 via IARD; competency exams (e.g.- Series 65 or equivalent); fingerprinting and background checks; continuing education (CE) requirements (e.g.- 12 hours annually- including ethics).
- Exemptions: Clerical/ministerial employees; out-of-state representatives under de minimis rules.
- Supervision and Compliance: Responsibility of IA firm; written supervisory procedures; personal trading restrictions.
- Prohibited Conduct: Borrowing from/lending to clients; commingling funds; guaranteeing returns; unfair dealing.
- Termination and Reporting: Form U5 filing; reporting disciplinary events to regulators.

Regulations of Broker-Dealers

- Definition of Broker-Dealer (BD): Entities effecting securities transactions for others or own account; exclusions (e.g.- banks- issuers).
- State Registration Requirements: Application via CRD (Central Registration Depository); net capital requirements (FINRA Rule 15c3-1 integration); fidelity bonds; audited financial statements.
- Exemptions: Intrastate BDs; those dealing only in exempt securities (e.g.- government bonds).
- Federal Coordination: SEC-registered BDs and state notice filings; FINRA membership requirements.
- Business Practices: Recordkeeping (e.g.- order tickets- confirmations for 6 years); customer account statements; anti-money laundering (AML) programs.
- Supervision: Office inspections; written procedures; qualification of principals (e.g.- Series 24 exam).
- Prohibited Activities: Churning; unauthorized trading; market manipulation.

Regulations of Agents of Broker-Dealers

- Definition of Agent: Individuals soliciting or effecting transactions; exclusions (e.g.- clerical staff- partners in certain cases).
- Registration Requirements: Form U4 filing; qualifying exams (e.g.- Series 7 + Series 63); background checks; state-specific fees.
- Exemptions: Agents dealing only in exempt transactions (e.g.- unsolicited orders); out-of-state agents under Rule 15a-6.
- Continuing Education: FINRA/state requirements (e.g.- annual compliance training).
- Compensation and Conflicts: Sharing commissions; disclosure of referral fees.
- Conduct Rules: Suitability (know your customer); fair dealing; no misleading statements.
- Termination: Form U5; reporting to SIPC if applicable; "statutory disqualification" for certain violations.

Regulations of Securities and Issuers

- Definition of Security: Stocks- bonds- investment contracts (Howey test); exempt securities (e.g.- U.S. government- municipal bonds).
- Registration Methods: By coordination (with SEC); by qualification; by filing/notification (for established issuers).
- Exempt Transactions: Private placements (Rule 506); intrastate offerings (Rule 147); unsolicited transactions.
- Issuer Requirements: Disclosure documents (prospectus); anti-fraud rules (full and fair disclosure).
- Merit Review: Some states evaluate fairness (e.g.- excessive promoter compensation).
- Variable Annuities and Contracts: Treated as securities; agent qualifications.
- Reporting: Post-registration filings (e.g.- sales reports- amendments).

Remedies and Administrative Provisions

- Administrative Actions: Denial- suspension- revocation of registration; cease and desist orders; investigations (subpoenas- testimony).
- Civil and Criminal Remedies: Restitution- rescission offers; fines (up to $10-000 per violation); imprisonment for willful violations.
- Statute of Limitations: Time frames for actions (e.g.- 3-5 years).
- Hearings and Appeals: Due process rights; judicial review.
- Sharing Information: Cooperation with SEC- FINRA; NASAA protocols.
- Investor Protection: Bonding requirements; fidelity funds.

Communication with Customers and Prospects

- Definitions: Retail vs. institutional communications; correspondence- sales literature.
- Approval and Recordkeeping: Pre-use approval by principal; retention for 3 years.
- Prohibited Practices: Misleading statements; past performance guarantees; unsubstantiated claims.
- Recommendations and Suitability: Disclosure of risks; suitability standards (e.g.- customer-specific).
- Electronic Communications: Emails- social media rules; NASAA statements on digital ads.
- Testimonials and Endorsements: Restrictions (e.g.- no compensation disclosure omissions).
- Performance Reporting: Uniform standards (e.g.- GIPS for advisers).

Ethical Practices and Obligations

- Fiduciary Duty: Acting in client's best interest; loyalty- care.
- Conflicts of Interest: Disclosure and management (e.g.- soft dollars- affiliated transactions).
- Insider Trading: Prohibitions under state laws; misuse of material nonpublic information.
- Gifts and Gratuities: Limits (e.g.- $100 annual cap under FINRA).
- Privacy and Confidentiality: Safeguarding customer information (Reg S-P integration).
- Fair Dealing: No front-running; equitable allocation of trades.
- Reporting Violations: Duty to report unethical conduct; whistleblower protections.

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Question: 1176
During a 2026 client appreciation event, HIJ Brokerage distributes brochures to retail attendees
promoting a "stable value fund with FDIC-like protection," using selective quotes from rating agencies
omitting downgrade warnings. Brochures lack approval. As sales literature, what recordkeeping is
mandated?
A. Notify non-attending clients of the brochure content for fairness
B. File copies with the state administrator within 5 days of distribution
C. Destroy excess copies post-event, retaining only digital scans for 3 years
D. Retain brochures, attendee sign-in sheets, and approval denials for 3 years
Answer: D
Explanation: Sales literature requires 3-year retention of all versions, distribution records like sign-ins,
and related compliance docs; filing is not required for non-advertisements, and destruction violates rules.
Question: 1177
Series 63 failed twice; third pass; but state requires:
A. Series 66 sub
B. Pass automatic
C. Waiting period waiver petition
D. No reg
Answer: C
Explanation: Multiple fails may need waivers per state.
Question: 1178
Pi Wealth Strategies, transitioning to federal-covered status, has a code of ethics mandating initial and
annual holdings reports but no quarterly transaction reviews, leading to an access person's undetected
trade in a client-recommended IPO. The state, under NSMIA, flags this conflict. What prohibited practice
is at issue, and what code amendment is required?
A. Misrepresentation in IPO advice; add annual ethics training to Form U4 filings
B. Undisclosed personal benefit conflict; require quarterly transaction certifications and pre-clearance
C. Custody of IPO shares; surprise audit of all access person accounts
D. Excessive IPO allocations; proxy policy for voting on IPO holdings
Answer: B
Explanation: The lapse allows conflicts via personal trades, a prohibited unethical practice. The code
must be amended to include quarterly transaction reports and pre-clearance for covered securities, with
updates in Form ADV Part 2A and notice to the state, ensuring federal-state alignment during transition.
Question: 1179
Pyramid scheme promo: Cease order, denial. Fines aggregate, rescission. 5.5 years old scheme discovery
now; criminal barred?
A. Pyramid civil only
B. All barred
C. Yes 5 years criminal, admin ok discovery
D. Denial no rescission
Answer: C
Explanation: Limitations differentiate criminal occurrence 5 years vs admin discovery 3 (509(j)).
Question: 1180
Howey fail: DAO with token voting on parameters.
A. Profits
B. Pool
C. Investor efforts via votes
D. Manager
Answer: C
Explanation: Voting negates solely others.
Question: 1181
A state-registered IA with custody obtains client assets worth $200 million in 2026, using a related-party
qualified custodian. To satisfy post-registration custody rules under NASAA Model Rule, the IA engages
a PCAOB-registered accountant for surprise exams. What complex trigger requires an additional Form
ADV amendment and client notification beyond annual renewals if the custodian's internal controls report
reveals material discrepancies in asset reconciliation parameters?
A. Filing amended ADV within 30 days detailing discrepancies and obtaining client waivers for
continued custody
B. Immediate disclosure of conflicts and switch to independent custodian within 90 days
C. Mandatory distribution of audited fund statements replacing surprise test if discrepancies exceed 5%
of AUM
D. Integration of findings into code of ethics with renewed proxy voting authority delegations
Answer: A
Explanation: Material discrepancies in custody controls require prompt ADV amendment (within 30 days
for ongoing accuracy) and client notifications to address conflicts and maintain transparency, separate
from audit replacements or ethics integrations which apply differently.
Question: 1182
Agent forgery docs: Suspension summary, subpoena witnesses. $10,000 per forgery, rescission. If 3
forgeries, $30,000; criminal?
A. Yes, per act fines, willful imprisonment
B. Single cap
C. Witnesses inadmissible
D. Summary no fine
Answer: A
Explanation: Per violation penalties (Section 412), from investigations (302), admin suspension (204),
criminal separate.
Question: 1183
A broker-dealer discovers that one of its representatives has been engaging in unauthorized trading. What
is the first action the firm should take?
A. Terminate the representative immediately
B. Conduct an investigation into the activities
C. Notify the SEC without delay
D. Inform the affected clients
Answer: B
Explanation: The first action the firm should take is to conduct an investigation into the activities to
gather facts and determine the appropriate course of action before making any decisions.
Question: 1184
A firm in 2026 implements a trade wheel for equity baskets, rotating fills: Client A (high-fee) first, then
B (low-fee), but skips C (new) due to "system glitch." All profiles match. What complex fair dealing
issue arises?
A. Wheel use, if not pro rata.
B. Glitch excuse, requiring fix only.
C. Inequitable skipping favoring fees, violating allocation equity.
D. New client tolerance for onboarding.
Answer: C
Explanation: Allocation must be equitable and systematic, like pro rata; fee-based skipping discriminates,
breaching fair dealing by not treating similar clients uniformly.
Question: 1185
An agent is required to complete continuing education annually. Which of the following syllabus is LEAST
likely to be included in the training?
A. Personal investment strategies of the agent
B. Ethical considerations in client relationships
C. accurate changes in state securities laws
D. Updates on regulatory compliance procedures
Answer: A
Explanation: Personal investment strategies of the agent are least likely to be included in continuing
education training, which focuses on regulatory compliance and ethical practices.
Question: 1186
Psi Asset Management, state-registered, renews Form ADV but fails to amend for a 20% increase in
advisory fees mid-year without client consent, exceeding the 1.5% tier cap. Clients complain of
misrepresentation. What prohibited practice is involved, and what client notification step follows?
A. Fraudulent fee hikes; deliver updated brochure within 30 days of amendment
B. Code violation in fee reporting; quarterly access person certifications
C. Excessive undisclosed fees; obtain consents and amend Part 2A promptly
D. Custody overage in fee accounts; annual surprise examinations
Answer: C
Explanation: Unconsented fee increases are prohibited excessive practices and misrepresentations. The
firm must amend Form ADV Part 2A within 30 days, obtain written consents, deliver updated brochures,
and potentially refund excesses, ensuring compliance with state anti-fraud provisions.
Question: 1187
Eta Dealers Inc., registered BD, shifts in 2026 to solely trading unsolicited exempt U.S. agency bonds
intrastate via blockchain ledgers per NASAA pilot programs. CRD amendment requires which parameter
for exemption retention?
A. Maintain registration but file exempt securities report, no net capital increase needed for agency bonds
B. Upload fidelity bond for blockchain risks and audited blockchain transaction logs
C. Deregister via BD-W, claim intrastate and exempt securities combo exemption
D. Qualify as issuer if holding bonds in proprietary ledger accounts
Answer: C
Explanation: Combo of intrastate ops and exempt securities (U.S. agency) allows exemption; 2026
blockchain rules permit deregistration if no other activities, via CRD notice.
Question: 1188
In a accurate compliance audit conducted on October 1, 2026, a state securities regulator discovers that
XYZ Broker-Dealer's marketing department distributed a quarterly newsletter to 5,000 retail investors via
email, containing a section titled "Top-Performing Funds for 2026" with hypothetical performance
projections based on back-tested data from 2020-2024, without prior approval from the firm's Chief
Compliance Officer. The newsletter also includes a brief disclaimer at the bottom in 8-point font stating
"Past performance is not indicative of future results." Under the Uniform Securities Act (USA) and
NASAA Model Rules, what is the most significant regulatory violation in this scenario?
A. Failure to obtain pre-use approval for sales literature containing hypothetical performance data
B. Insufficient recordkeeping of the email distribution list for the required 3-year retention period
C. Use of unsubstantiated claims about fund performance without customer-specific risk disclosures
D. Distribution of correspondence to more than 1,000 recipients without filing a copy with the state
administrator
Answer: A
Explanation: Under NASAA rules, sales literature?including newsletters with performance projections
?must receive pre-use approval from a qualified principal before distribution to ensure it is not
misleading. Hypothetical performance data qualifies as sales literature requiring this approval, and the
lack thereof constitutes a primary violation, regardless of the small disclaimer size or recordkeeping
issues, which are secondary concerns.
Question: 1189
Intrastate Rule 147 for e-commerce platform, 100% sales in-state via geo-tagged transactions, but servers
hosted out-of-state on AWS. Violation if resales?
A. Investor donates shares to out-of-state charity after 9 months, claiming charitable exemption overlay
B. In-state sales
C. Local host
D. 80% revenue
Answer: A
Explanation: Resales must maintain intrastate character; post-9 month to out entities violates if not
resident-focused.
Question: 1190
Eta Capital, a state-registered IA, updates its 2026 application via IARD after a merger increasing AUM
to $120 million, shifting to federal covered. What step must it take for state withdrawal, including record
transfer protocols?
A. Continue state filing indefinitely; no withdrawal
B. Notice state Administrator via email; destroy old records post-merger
C. File Form ADV-T for transition, transfer records to SEC custody within 60 days, maintain 5-year
access
D. Pay double fees during overlap; brochure update optional
Answer: C
Explanation: Upon SEC registration, state-registered IAs file for withdrawal using Form ADV-W,
coordinating via IARD; records must be preserved for 5 years and made available to states upon request,
per NASAA Rule 203-1, ensuring continuity in anti-fraud oversight during transitions.
Question: 1191
A state securities administrator may deny an application for registration if the applicant has a history of
which of the following?
A. Previous registration revocation
B. Minor regulatory infractions
C. Unrelated civil litigation
D. Non-securities related criminal convictions
Answer: A
Explanation: A history of previous registration revocation is a significant factor that can lead to the denial
of a new application for registration, indicating a pattern of non-compliance.
Question: 1192
U.S. agency mortgage-backed securities like GNMA pass-throughs are pooled from FHA loans, with
timely payment guarantees. In a state enforcement action, affirm exemption despite what?
A. Pass-through structure distributing principal and interest monthly, packaged with swaps hedging rates
B. Sold in fractional interests via broker platforms charging 1% markup
C. Underlying loans originated privately but guaranteed federally
D. If commingled with private label MBS exceeding 20% in portfolios
Answer: A
Explanation: Government agency securities, including GNMA, are exempt under USA Section 102(2)
regardless of structure like pass-throughs or added derivatives in packaging, as the full faith guarantee
preserves status separate from private components.
Question: 1193
An adviser is found to have misrepresented the performance of a mutual fund to clients. This action falls
under which prohibited practice?
A. Excessive fees
B. Conflicts of interest
C. Fraud and misrepresentation
D. Failure to disclose affiliations
Answer: C
Explanation: Misrepresenting the performance of a mutual fund constitutes fraud and misrepresentation,
which are serious violations of securities laws and can lead to disciplinary action against the adviser.
Question: 1194
A state securities administrator is conducting an investigation into a broker-dealer's practices. The broker-
dealer refuses to provide requested documents, citing client confidentiality. What is the administrator's
best course of action?
A. Accept the refusal and close the investigation
B. Initiate a formal hearing against the broker-dealer
C. Notify the SEC of the broker-dealer's non-compliance
D. Issue a subpoena to compel the production of documents
Answer: D
Explanation: The administrator can issue a subpoena to compel the broker-dealer to provide the requested
documents, as regulatory authorities have the power to obtain necessary information for investigations.
Question: 1195
In a complex merger scenario, Broker-Dealer Alpha, an SEC-registered firm with FINRA membership,
acquires Broker-Dealer Beta, which operates solely in Texas under state registration without federal
oversight. Post-merger, Alpha plans to integrate Beta's 15 Texas-based agents who hold Series 7 and
Series 63 licenses but lack Series 24 principal qualifications. Texas's securities administrator notifies
Alpha that all principals supervising the integrated operations must pass the Series 24 test within 90
days, and Alpha must update its FINRA Form BD to reflect the merger under federal coordination rules.
What specific parameter in the merger agreement would most likely violate USA provisions if
overlooked, potentially leading to agent debarment?
A. A clause delaying FINRA membership transfer for Beta's agents until after Texas state re-examination
B. A provision exempting Alpha from Texas net capital computations based on Beta's pre-merger audited
figures
C. An addendum requiring Beta's agents to complete 12 hours of annual CE focused on AML but not
supervision protocols
D. A condition mandating immediate notice filing with the SEC but omitting Texas Administrator
consent for principal designations
Answer: D
Explanation: The USA requires state administrator approval for principal designations, and federal
coordination via NSMIA mandates notice to state regulators for mergers affecting local operations.
Omitting Texas consent could deem principal supervision invalid, risking agent debarment. FINRA
membership transfer timelines are governed separately; net capital must be recalculated post-merger; and
CE hours must include supervision under Series 24 prep, but the core issue is state consent.
Question: 1196
During a 2026 virtual seminar, an agent receives a $95 digital gift code from the host broker-dealer for
session completion, plus $15 in shipping for a mailed follow-up booklet from the same entity. The code
is for platform access tied to future trades. How does this impact compliance with gratuities parameters?
A. Fully compliant, as digital codes are non-tangible and below $100 total.
B. Non-compliant only if redeemed personally, but allowable for trade-related access.
C. Compliant if the code is used for client education, exempting it as a business tool.
D. Non-compliant; aggregate to $110 and report for exceeding the cap, as shipping counts toward value.
Answer: D
Explanation: All values, including shipping, aggregate per source under the $100 annual limit; exceeding
without disclosure violates ethical standards, even for educational items linked to business, per FINRA
and state guidelines.
Question: 1197
Exempt security: GNMA with swaps. Still exempt despite derivatives.
A. No
B. Yes, agency guarantee
C. If private
D. Municipal
Answer: B
Explanation: Exemption holds on issuer.
Question: 1198
An investment adviser must ensure that their code of ethics includes provisions for:
A. Personal trading by employees
B. Client referrals to other advisers
C. Marketing strategies for new clients
D. Performance benchmarks for investment products
Answer: A
Explanation: A code of ethics must include provisions for personal trading by employees to prevent
conflicts of interest and ensure that employees do not trade based on non-public information that could
harm clients.
Question: 1199
An agent learns that a company they are recommending has been involved in unethical business
practices. What is the agent's best course of action?
A. Continue recommending the company to clients
B. Recommend the company only to trusted clients
C. Keep the information confidential
D. Inform clients of the unethical practices and suggest alternatives
Answer: D
Explanation: The agent's best course of action is to inform clients of the unethical practices and suggest
alternatives to uphold ethical standards and protect client interests.
Question: 1200
Omega Dealers applies CRD but excludes as savings assoc for fiduc trades. Proof:
A. Intra limit
B. Full anyway
C. Charter upload, exemption affidavit skipping capital
D. Non exempt
Answer: C
Explanation: Associations excluded with docs.
Question: 1201
Rule 506 private placement integrates ESOP for employees, offering units at discounted NAV. State
challenges if?
A. Employees are non-accredited but offered under compensatory benefit plans exempt separately
B. General solicitation to employees via intranet only
C. Blended with investor tranche without firewall in subscription agreements
D. Verification via W-2 forms for accreditation
Answer: C
Explanation: Mixing compensatory exemptions with Reg D without separation risks tainting the private
placement; integration doctrine combines offers, requiring all comply with 506 limits.
Question: 1202
An investment adviser is considering offering a new service that involves custodial services for clients.
What must the adviser ensure regarding this new service?
A. It does not require any additional licenses
B. It is marketed only to institutional clients
C. It complies with all applicable custody rules
D. It allows for investment in non-publicly traded securities
Answer: C
Explanation: The adviser must ensure that the new service complies with all applicable custody rules to
protect client assets and maintain regulatory compliance.
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