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Updated: Aug 18, 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 |
| Real Exam Qty: | 65 (60 scored + 5 unscored pretest) |
| Passing Score: | 72% (43 out of 60 scored questions) |
| Related Certifications: | SIE Series 6 Series 7 Series 65 Series 66 |
| Available Languages: | English, Spanish |
| Certificate Validity Period: | Indefinite while active in industry; may be extended via EVEP |
| Exam Format: | Computer-based, Multiple-choice (4 options) |
| Exam Duration: | 75 minutes |
| Exam Price: | $147 USD |
| Recommended Training: | NASAA Official Content Outline FINRA Study Resources |
| Exam Registration: | FINRA Series 63 Page NASAA Exam Portal Prometric Scheduling |
| 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% | - Exempt securities and exempt transactions - Registration methods: coordination, qualification, filing - Definition of securities - Disclosure and anti-fraud requirements |
| Topic 2: Regulations of Agents of Broker-Dealers | 13% | - Termination and notice requirements - Registration procedures and Form U4 - Definition and scope of activities - Exemptions from registration |
| Topic 3: Regulations of Broker-Dealers | 12% | - Definition and legal status - Registration and post-registration requirements - Supervision and compliance obligations - Exclusions and exemptions from registration |
| Topic 4: Ethical Practices and Fiduciary Obligations | 40% | - Prohibited business practices - Conflicts of interest and compensation - Handling of customer funds and securities - Customer suitability and disclosure - Anti-fraud provisions and misrepresentation - Advertising and communication rules |
| Topic 5: Administrative Provisions and Remedies | 15% | - Investigations, subpoenas, and orders - Powers of state securities administrators - Civil and criminal liabilities - Judicial review and appeals |
| Topic 6: Regulations of Investment Adviser Representatives | 5% | - Definition and activities requiring registration - Registration and post-registration duties - Exclusions and exemptions |
| Topic 7: Regulations of Investment Advisers | 5% | - Recordkeeping and reporting rules - Definition under Uniform Securities Act - Registration and exemptions |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
1. Mr. Bigwig, CEO of HiGrowth Corporation, meets with the president of BigFee Investment Bankers and
arranges for BigFee to underwrite an Initial Public Offering (IPO) for the firm. When the IPO comes to
market, GetErDone Broker-Dealers is part of the selling group, which handles the sale of the stock to the
public. In this scenario, which party is acting as a dealer?
A) HiGrowth Corporation
B) Mr. Bigwig
C) GetErDone Broker-Dealers
D) BigFee Investment Bankers
2. A client calls CanDo Broker-Dealers with a market-not-held order to buy 5,000 shares of China Security
and Surveillance Technology, Inc. (CSR), which sells on the NYSE, "at a good price today." The stock had
opened at $5.13, traded as high as $5.36 during the day, and closed at $5.10. CanDo executed the
purchase at a price of $5.31, so at market close, the client had lost $1,050. The client can
A) refuse to pay CanDo commissions for the purchase.
B) sue CanDo for not getting him the best price of the day-or anything close to it.
C) refuse to pay for the stock on the settlement date.
D) do nothing about it.
3. Which of the following trades is illegal?
A) a margin transaction
B) the sale of a mutual fund if the purchaser hasn't received a prospectus
C) a market-not-held order
D) a short sale
4. 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 and II only
B) I, II and III
C) I and III only
D) I only
5. You had the misfortune of working as a registered agent for an unscrupulous broker-dealer. You weren't
privy to any of it, but apparently, your broker-dealer was guilty of some fraudulent activities and has had
his license revoked. In this instance,
A) you are no longer a licensed agent with the state and must reapply for a license in order to work for
another broker-dealer.
B) you must wait until the broker-dealer's day in court before you can work in the securities industry again
because the Administrator will want to be certain that you knew nothing of it.
C) the state Administrator will assign you and any other affected agents to work for other broker-dealers
registered with the state.
D) you can simply find another broker-dealer to hire you and have your license transferred to him.
Solutions:
| Question # 1 Answer: D | Question # 2 Answer: D | Question # 3 Answer: B | Question # 4 Answer: B | Question # 5 Answer: A |
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