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Updated: Sep 09, 2026
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FINRA Series63 Exam Overview:
| Certification Vendor: | North American Securities Administrators Association (NASAA) / FINRA |
|---|---|
| Exam Name: | Uniform Securities Agent State Law Examination |
| Exam Number: | Series 63 |
| Related Certifications: | Series 7 SIE (Securities Industry Essentials) Series 66 Series 6 |
| Real Exam Qty: | 60 scored + 5 unscored pretest |
| Exam Duration: | 75 minutes |
| Certificate Validity Period: | Valid while registered; score generally valid for ~2 years if not employed |
| Exam Price: | USD 147 |
| Passing Score: | 43 out of 60 (72%) |
| Available Languages: | English |
| Exam Format: | Multiple Choice |
| Sample Questions: | FINRA Series63 Sample Questions |
| Exam Way: | Administered at Prometric testing centers (computer-based), closed-book with supervised proctor. |
| Pre Condition: | No formal prerequisites; often taken with SIE and a representative-level exam (e.g., Series 7 or Series 6) for full securities registration. |
| Official Syllabus URL: | https://www.finra.org/registration-exams-ce/qualification-exams/series63 |
FINRA Series63 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Regulation of Investment Adviser Representatives | 5% | - IAR registration and obligations - Recordkeeping and contract standards |
| Regulation of Broker-Dealers | 12% | - Federal and state registration standards - Broker-dealer regulatory requirements |
| Regulations of Securities and Issuers | 9% | - Issuer regulation principles - Securities registration and exemptions |
| Remedies and Administrative Provisions | 9% | - State Administrator authority - Enforcement and penalties |
| Regulation of Investment Advisers | 5% | - Federal vs state adviser regulation - Investment adviser registration rules |
| Ethical Practices and Obligations | 25% | - Conflicts of interest and fiduciary duties - Fraudulent and unethical conduct |
| Regulation of Broker-Dealer Agents | 13% | - Agent registration requirements - Associated person regulations |
| Communication with Customers and Prospects | 20% | - Disclosure requirements - Advertising and correspondence rules |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
When a customer files a complaint with a broker-dealer,
I. the broker-dealer must submit the complaint to the firm's compliance department.
II. the broker-dealer must provide a prompt written response to the complainant.
III. the broker-dealer must temporarily suspend the activities of any agent named in the complaint.
- A. II and III only
- B. I and III only
- C. I and II only
- D. I, II and III
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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 never have defaulted on any bond or long-term lease obligation.
- B. The issuer must have a net worth of $4 million, or its net income before tax for at least two of the
- C. The issuer must have preferred stockholders as well as common stockholders.
- D. If the security to be issued is an equity interest in the firm, its offer price has to be at least $5 a
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Which of the following practices would be prohibited in connection with the sale of investment company shares?
I. selling a client shares of a load stock fund when a no load stock fund with the same investment objective exists II. selling the client shares of five S&P 500 Index mutual funds, offered by different fund families III. encouraging a client to swap his money between two funds in the same family without informing him that this creates a taxable event
- A. II and III only
- B. I and III only
- C. I and II only
- D. I, II, and III
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For how long after the effective date is a security's registration valid?
- A. six months
- B. two years
- C. three months
- D. one year
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Jack Bean is employed by Giant Investment Advisers, LLC. His job duties include advising clients on the asset allocations of their portfolios. Jack Bean is
- A. an agent.
- B. an administrative assistant.
- C. an investment adviser representative.
- D. an investment adviser.
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