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Updated: Aug 01, 2026
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FINRA Series_63 Exam Overview:
| Certification Vendor: | FINRA / NASAA |
| Exam Name: | Uniform Securities Agent State Law Examination |
| Exam Number: | Series 63 |
| Exam Duration: | 75 minutes |
| Passing Score: | 72% (43 out of 60 scored questions) |
| Exam Format: | Computer-based, Multiple-choice (4 options) |
| Real Exam Qty: | 65 (60 scored + 5 unscored pretest) |
| Available Languages: | English, Spanish |
| Exam Price: | $147 USD |
| Certificate Validity Period: | Indefinite while active in industry; may be extended via EVEP |
| Related Certifications: | SIE Series 6 Series 7 Series 65 Series 66 |
| Recommended Training: | FINRA Study Resources NASAA Official Content Outline |
| Exam Registration: | Prometric Scheduling FINRA Series 63 Page NASAA Exam Portal |
| Sample Questions: | FINRA Series_63 Sample Questions |
| Exam Way: | In-person at Prometric test centers; online proctored option available in some regions |
| Pre Condition: | No mandatory prerequisites; often taken alongside SIE, Series 6 or Series 7; no firm sponsorship required for U10 registration |
| Official Syllabus URL: | https://www.finra.org/registration-exams-ce/qualification-exams/series63 |
FINRA Series_63 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Regulations of Securities and Issuers | 10% | - Disclosure and anti-fraud requirements - Exempt securities and exempt transactions - Registration methods: coordination, qualification, filing - Definition of securities |
| Topic 2: Regulations of Investment Advisers | 5% | - Definition under Uniform Securities Act - Recordkeeping and reporting rules - Registration and exemptions |
| Topic 3: Regulations of Investment Adviser Representatives | 5% | - Exclusions and exemptions - Registration and post-registration duties - Definition and activities requiring registration |
| Topic 4: Regulations of Broker-Dealers | 12% | - Supervision and compliance obligations - Exclusions and exemptions from registration - Definition and legal status - Registration and post-registration requirements |
| Topic 5: Ethical Practices and Fiduciary Obligations | 40% | - Customer suitability and disclosure - Advertising and communication rules - Prohibited business practices - Handling of customer funds and securities - Conflicts of interest and compensation - Anti-fraud provisions and misrepresentation |
| Topic 6: Regulations of Agents of Broker-Dealers | 13% | - Exemptions from registration - Termination and notice requirements - Registration procedures and Form U4 - Definition and scope of activities |
| Topic 7: Administrative Provisions and Remedies | 15% | - Civil and criminal liabilities - Powers of state securities administrators - Judicial review and appeals - Investigations, subpoenas, and orders |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
1. Which of the following statements regarding an open-end investment company is not true?
A) Its shares are bought and sold on exchange floors.
B) Its shares may sell for either net asset value or greater than net asset value, but not below
C) Its securities are federal covered.
D) Its shares are bought and sold through the company.
2. Which of the following would not fall under the classification of "institutional investor"?
A) Chase Bank
B) Franklin Templeton Mutual Funds
C) Neuring Investment Advisers
D) Prudential Insurance
3. Ari Gaunt is a registered agent employed by Small &Associates Broker-Dealers. He has been notified of a
hearing regarding the revocation of his license for making unauthorized trades on some of his clients'
accounts. Which of the following statements is necessarily true?
A) If Ari is found guilty and has his license revoked, he can appeal the decision in a court of law if he files
the appeal within sixty days.
B) The Administrator of the state can assess Ari with both civil and criminal penalties.
C) If Ari is found guilty and has his license revoked, Small & Associates will have its license revoked as
well and must reapply for reinstatement by filling out an application and paying the requisite filing fees.
D) If Ari is found guilty and has his license revoked, Small & Associates will be subject to a fine.
4. The C&S Railroad is in the process of issuing new bonds. Before these bonds can be offered for sale,
A) None of the above statements is true.
B) they must be registered in every state in which the bonds will be sold to investors.
C) they must be registered with the SEC since railroads are involved in interstate commerce.
D) they must be registered with the SEC and in each state through which the railroad passes.
5. According to the NASAA Model Rules, which of the following institutions would not be considered a
qualified custodian?
A) a broker-dealer that is registered with the state
B) a bank that is insured by a private, state-sponsored insurance company
C) a savings institution that is insured by the FDIC
D) a foreign financial institution
Solutions:
| Question # 1 Answer: A | Question # 2 Answer: C | Question # 3 Answer: A | Question # 4 Answer: A | Question # 5 Answer: B |
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