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FINRA Series_63 Exam Overview:
| Certification Vendor: | FINRA |
|---|---|
| Exam Name: | FINRA Series 63 Uniform Securities Agent State Law Examination |
| Exam Number: | Series 63 |
| Exam Duration: | 75 minutes |
| Related Certifications: | Series 6 Series 65 Series 7 Series 66 |
| Real Exam Qty: | 60 scored questions (plus unscored pretest questions may be included) |
| Passing Score: | 72% |
| Available Languages: | English |
| Exam Price: | USD 147 |
| Certificate Validity Period: | Varies by state registration requirements; generally remains valid as long as state registration is active |
| Exam Format: | Multiple choice |
| Recommended Training: | Kaplan Financial Education Series 63 Prep Securities Training Corporation (STC) Series 63 Course |
| Exam Registration: | FINRA Exam Registration |
| Sample Questions: |  |
| Exam Way: | Computer-based exam administered at Prometric testing centers and authorized online proctored locations |
| Pre Condition: | No formal prerequisites; typically taken alongside or after Series 6 or Series 7 depending on role requirements |
| Official Syllabus URL: | https://www.finra.org/registration-exams-ce/qualification-exams/series63 |
FINRA Series_63 Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| State Securities Acts and Related Rules | - Definitions and terminology under Uniform Securities Act - Registration of securities, broker-dealers, agents, and investment advisers - Exempt securities and exempt transactions |
| Registration Procedures and Requirements | - Registration process for agents and broker-dealers - State notice filings and renewals |
| Regulatory Provisions and Compliance | - Ethical practices and fiduciary obligations - Recordkeeping and administrative provisions - Enforcement actions and penalties |
Series_63 Exam FAQ — Easier and Sooner
Yes — download the free FINRA Uniform Securities Agent State Law Examination demo and judge the quality yourself before paying; the whole content goes further than the demo, but the demo shows the style. Purchases include 365 days of free updates delivered by email; renew afterward at 50% off.
No formal prerequisites; typically taken alongside or after Series 6 or Series 7 depending on role requirements Eligibility rules change over time, so verify the current requirements on the official page (official Series_63 exam page) before registering.
The FINRA Uniform Securities Agent State Law Examination is FINRA's certification exam for Uniform Securities Agent State Law Examination (Series 63), at the Associate level. Related credentials include Series 6, Series 7, Series 65, Series 66. Prepare efficiently: short review sessions anywhere, mock exams when you have a desk.
The FINRA Uniform Securities Agent State Law Examination blueprint spans 3 domains — including State Securities Acts and Related Rules, Regulatory Provisions and Compliance, Registration Procedures and Requirements. Tag key points per domain in the PDF version; the complete outline above lists every subtopic.
75 minutes for 60 scored questions (plus unscored pretest questions may be included) questions. Build pacing with the GuideTorrent software engine: repeated timed mock exams make the real clock feel easy.
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FINRA Uniform Securities Agent State Law Examination Sample Questions:
Iggy recently started his own company. He soon discovered it required more cash to keep it going than he
had anticipated. He ran an ad in the local paper for investors and got a response. He found a template for
a promissory note on the internet, filled in the requisite information specific to the agreement he and the
investor had worked out, and printed it out. On it, he promised to make monthly interest payments of 2%
on the loan and to repay the principal amount at the end of 18 months. A few months after the
arrangement, Iggy read an article in a small business publication that indicated that promissory notes had
to be registered with the state unless they were sold in an exempt transaction, such as one enacted with a
financial institution, prior to being offered for sale. The article indicated that a seller who had sold an
unregistered note in error could remedy the situation by sending the buyer a formal offer to buy the
security back, with interest. Iggy turned to the computer once again, found a form that could be used for a
formal offer of rescission, filled it out, and sent it to the investor. Having done this,
- A. Iggy must follow up with a second notice sent via registered mail if he has not heard from the investor
within 30 days. - B. Iggy cannot be sued for civil damages if the investor fails to respond to the offer within 30 days.
- C. Iggy must wait 6 months for a response from the investor. If no response is received by the end of 6
months, Iggy is off the hook. - D. Iggy will not be assessed any penalties by the Administrator of the state, but the investor can still sue
for damages in civil court.
Correct Answer: B 🗳️
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When selling shares in a closed-end investment company, an agent must inform the client of any
I. commissions
II. underwriting fees
III. miscellaneous offering expenses
- A. I only
- B. I and II only
- C. I, II and III
- D. I and III only
Correct Answer: C 🗳️
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Which of the following scenarios describes activities that are disallowed under the NASAA Model Rules?
I. Broker-dealer Anon observes that a client placed a stop loss order to sell her 1,500 shares of
Amazon.com stock for $131 when the stock was selling for $134. Anon sold the stock for $133 when it
started to fall during the day and credited the client's account with $131 per share when stock dropped
further to $129 a share.
II. Penny is an agent with Broker-dealer Anon. She recently recommended that a client buy a stock that
Penny thought would do well. As it turned out, Penny was wrong, and she offers to refund the commission
that the client paid her.
III. Broker-dealer Anon is part of the selling group of a hot new IPO. As such, the firm purchases 50% of
the shares for its own portfolio and sells the remainder to the public.
- A. I only
- B. I and II only
- C. I and III only
- D. I, II, and III
Correct Answer: D 🗳️
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Finn Nance has recently passed his CFP exam and is now a certified financial planner. He has new
business cards printed that have the words "Certified Financial Planner" printed under his picture. In doing
so,
- A. Finn has violated a securities law. The Uniform Securities Act prohibits anyone from using the word
"certified" on any advertisement for services. - B. Finn is not in violation of any laws as long as he has notified the state Administrator of his new
designation and his new logo. - C. Finn has possibly violated a state securities regulation. The Administrator in many states prohibits the
use of the word "certified" on any advertisement for services. - D. Finn has not violated any laws or engaged in any prohibited practices.
Correct Answer: D 🗳️
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MoeMoney Investment Advisers uses the services of two broker-dealers exclusively when it executes
trades for its clients' accounts. The larger of the two broker-dealers provides MoeMoney with research
from its analyst department in return for the business and also serves as the custodian for some of
MoeMoney's clients' accounts. The smaller of the two broker-dealers picks up the utility bill for MoeMoney.
MoeMoney is careful to disclose this form of "soft dollar" compensation to its clients. Is it in violation of any
securities laws?
- A. No. Investment advisers are entitled to receive soft dollar compensation from broker-dealers with which
it has a relationship as long as they disclose this to their clients. - B. Yes. Although investment advisers are permitted to receive some forms of soft dollar compensation
from broker-dealers with which it has a relationship, such as research or custodial services, other forms of
soft dollar compensation, including the payment of overhead expenses,are prohibited. - C. Yes. Investment advisers are prohibited from receiving any soft dollar compensation whatsoever.
- D. Yes. Investment advisers are required to use more than two broker-dealers when executing trades on
its clients' accounts.
Correct Answer: B 🗳️
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