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Updated: Aug 30, 2026
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FINRA Series63 Exam Overview:
| Certification Vendor: | NASAA / FINRA |
|---|---|
| Exam Name: | Uniform Securities Agent State Law Examination |
| Exam Number: | Series 63 |
| Exam Price: | $147 USD |
| Real Exam Qty: | 65 (60 scored, 5 unscored) |
| Exam Duration: | 75 minutes |
| Related Certifications: | Series 7 Series 65 Series 6 SIE Series 66 |
| Available Languages: | English |
| Certificate Validity Period: | Valid while registered and employed; no fixed expiration if active |
| Passing Score: | 43/60 (72%) |
| Exam Format: | Multiple Choice, Computer-Based, Closed Book |
| Recommended Training: | NASAA Study Guide |
| Exam Registration: | NASAA Official Outline FINRA Series 63 Registration |
| Sample Questions: | FINRA Series63 Sample Questions |
| Exam Way: | Computer-based testing at Prometric test centers |
| Pre Condition: | No formal prerequisites; often taken after SIE Exam; sponsorship not required for registration |
| Official Syllabus URL: | https://www.finra.org/registration-exams-ce/qualification-exams/series63 |
FINRA Series63 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Prohibited Practices and Ethical Obligations | 20% | - Disclosure and fair dealing - Administrative remedies and enforcement - Fraudulent and unethical business conduct |
| Topic 2: Regulations of Investment Advisers and Representatives | 15% | - Advertising and recordkeeping rules - Fiduciary duties and disclosure requirements - Registration and exclusions |
| Topic 3: Regulations of Agents and Broker-Dealers | 25% | - Registration requirements and exemptions - Supervision and compliance responsibilities - Recordkeeping and reporting obligations |
| Topic 4: State Securities Acts and Related Rules & Regulations | 40% | - Definitions and jurisdiction - Regulation of investment advisers and representatives - Regulation of broker-dealers and agents - Registration of securities and exemptions |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
Question 1
Which of the following statements about agents is (are) false?
A. If an agent files for bankruptcy, the Administrator may elect to terminate that agent's registration if the Administrator believes it is "in the public interest" to do so.
B. All of the above are false statements.
C. An agent must demonstrate a specific minimum level of financial stability for his registration application to be accepted.
D. When an agent has a change of address, both he and his broker-dealer affiliate must inform the Administrator.
Question 2
Which of the following trades is illegal?
A. a margin transaction
B. a short sale
C. a market-not-held order
D. the sale of a mutual fund if the purchaser hasn't received a prospectus
Question 3
For how long after the effective date is a security's registration valid?
A. one year
B. six months
C. three months
D. two years
Question 4
Although an Administrator has broad powers, he or she cannot:
A. issue subpoenas involving compulsory attendance.
B. formulate rules and orders.
C. deliver a judicial injunction.
D. gather evidence.
Question 5
Which of the following does not need to be included in an investment advisory contract?
A. the term of the contract
B. the total amount of money that the investment adviser currently has under management
C. the advisory fees and the formula used to compute them
D. a statement that the contract cannot be assigned to another party without the client's consent
Solutions:
| Question 1 Answer: C | Question 2 Answer: D | Question 3 Answer: A | Question 4 Answer: C | Question 5 Answer: B |
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