FINRA Series_63 Exam Information and Actual Questions

  • Exam Code/Number: Series_63
  • Exam Name/Title: Uniform Securities Agent State Law Examination
  • Certification Provider: FINRA
  • Corresponding Certification: FINRA Certification
  • Exam Questions: 255
  • Updated On: Oct 15, 2026

Series_63
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FINRA
Series_63 Exam
Uniform Securities Agent State Law Examination

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FINRA Series_63 Exam Overview:

Certification Vendor:NASAA / FINRA
Exam Name:Uniform Securities Agent State Law Examination
Exam Number:Series 63
Exam Price:USD 147
Real Exam Qty:65 (60 scored + 5 unscored)
Available Languages:English
Related Certifications:FINRA Series 65
FINRA Securities Industry Essentials (SIE)
FINRA Series 7
FINRA Series 66
Passing Score:43 out of 60 scored questions (72%)
Exam Duration:75 minutes
Certificate Validity Period:No fixed expiration, typically valid for 2–5 years depending on state registration rules
Exam Format:Multiple-choice
Sample Questions:FINRA Series_63 Sample Questions
Exam Way:Delivered at Pearson VUE testing centers; online remote testing may be available in limited accommodations.
Pre Condition:There are no strict prerequisites, but many candidates sit Series 63 after passing the SIE and/or Series 7. State registration is required for securities agent qualification.
Official Syllabus URL:https://www.finra.org/registration-exams-ce/qualification-exams/series63

FINRA Series_63 Exam Syllabus Topics:

SectionWeightObjectives
Topic 1: Ethical Practices and Fiduciary Obligations40%- Ethics in securities business
  • 1. Fiduciary duties and conflicts of interest
  • 2. Anti-fraud provisions
- Client-related rules
  • 1. Client funds and securities handling
  • 2. Disclosure and suitability principles
Topic 2: Regulation of Investment Advisers and Representatives- Investment Adviser Representatives
  • 1. Post-registration obligations
  • 2. IAR registration requirements
- Investment Adviser registration
  • 1. De minimis exemption
  • 2. State vs federal covered advisers
Topic 3: Regulation of Broker-Dealers and Agents- Broker-Dealer definitions and requirements
  • 1. BD registration criteria
  • 2. Agent registration criteria
- Agent conduct and obligations
  • 1. Compensation and transaction rules
  • 2. Customer communications
Topic 4: State Securities Acts and Related Rules60%- Administrator Powers
  • 1. Cease and desist orders and enforcement
  • 2. Rulemaking and investigations
- Uniform Securities Act principles
  • 1. State jurisdiction and definitions
  • 2. Registration of securities and exemptions


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