FINRA Series63 Exam Details & Actual Exam Questions
- Exam Code/Number: Series63
- Exam Name/Title: Uniform Securities Agent State Law Examination
- Certification Provider: FINRA
- Corresponding Certification: Uniform Securities State Law
- Exam Questions: 251
- Updated On: Sep,09 2026
- Certification Level: State Law Qualification
FINRA Uniform Securities Agent State Law Examination Exam Questions
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(41 Up Votes)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 |
| Certificate Validity Period: | Valid while registered; score generally valid for ~2 years if not employed |
| Exam Format: | Multiple Choice |
| Available Languages: | English |
| Related Certifications: | SIE (Securities Industry Essentials) Series 7 Series 6 Series 66 |
| Exam Price: | USD 147 |
| Exam Duration: | 75 minutes |
| Passing Score: | 43 out of 60 (72%) |
| Real Exam Qty: | 60 scored + 5 unscored pretest |
| 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 |
|---|---|---|
| Topic 1: Communication with Customers and Prospects | 20% | - Disclosure requirements - Advertising and correspondence rules |
| Topic 2: Regulations of Securities and Issuers | 9% | - Securities registration and exemptions - Issuer regulation principles |
| Topic 3: Remedies and Administrative Provisions | 9% | - State Administrator authority - Enforcement and penalties |
| Topic 4: Regulation of Broker-Dealers | 12% | - Federal and state registration standards - Broker-dealer regulatory requirements |
| Topic 5: Regulation of Broker-Dealer Agents | 13% | - Agent registration requirements - Associated person regulations |
| Topic 6: Ethical Practices and Obligations | 25% | - Fraudulent and unethical conduct - Conflicts of interest and fiduciary duties |
| Topic 7: Regulation of Investment Advisers | 5% | - Investment adviser registration rules - Federal vs state adviser regulation |
| Topic 8: Regulation of Investment Adviser Representatives | 5% | - IAR registration and obligations - Recordkeeping and contract standards |
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