Prepare with FINRA Series63 exam torrent, pass for sure
Updated: Aug 15, 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 |
| Real Exam Qty: | 65 (60 scored, 5 unscored) |
| Certificate Validity Period: | Valid while registered and employed; no fixed expiration if active |
| Related Certifications: | SIE Series 6 Series 7 Series 65 Series 66 |
| Exam Format: | Multiple Choice, Closed Book, Computer-Based |
| Exam Duration: | 75 minutes |
| Exam Price: | $147 USD |
| Available Languages: | English |
| Passing Score: | 43/60 (72%) |
| 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: State Securities Acts and Related Rules & Regulations | 40% | - Registration of securities and exemptions - Regulation of broker-dealers and agents - Regulation of investment advisers and representatives - Definitions and jurisdiction |
| 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% | - Supervision and compliance responsibilities - Recordkeeping and reporting obligations - Registration requirements and exemptions |
| Topic 4: Prohibited Practices and Ethical Obligations | 20% | - Fraudulent and unethical business conduct - Administrative remedies and enforcement - Disclosure and fair dealing |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
1. 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 not violated any laws or engaged in any prohibited practices.
B) 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.
C) 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.
D) Finn has violated a securities law. The Uniform Securities Act prohibits anyone from using the word
"certified" on any advertisement for services.
2. Most individual state securities laws today are based on:
A) the Gramm-Leach-Bliley Act of 1999.
B) the National Securities Markets Improvement Act of 1996.
C) the Uniform Securities Act of 2002.
D) the Uniform Securities Act of 1956.
3. Which of the following are examples of the prohibited practice of manipulation in the securities markets?
I. Broker-Dealer Joker is unhappy with its investment in the stock of a speculative firm and engages another broker-dealer to purchase a large number of shares from it, with the unofficial agreement to buy back those shares, offer more shares which the second broker-dealer will purchase, and so on.
II. Broker-Dealer Joker has a large short position in the stock of a certain corporation. Joker offers a bonus to its agents who effect sale transactions in the stock.
III. A client calls Broker-Dealer Joker with a request to purchase 20 bonds issued by Massachusetts Institute of Technology (MIT.) The bonds are currently selling for their par value of $1,000. Knowing this, Joker offers to sells the client the bonds for $120 per $100 of par, or $1,200 per $1,000 bond.
A) I only
B) I, II, and III
C) I and III only
D) I and II only
4. In order to maintain its registration with a state, a broker-dealer may be required to:
I. take a written or oral exam.
II. pay an annual filing fee.
III. maintain a minimum net capital.
IV. file all advertising material with the Administrator.
A) II, III, and IV only
B) II and III only
C) I, II, III, and IV
D) I and II only
5. Under the Uniform Securities Act (USA), the term "investment adviser" does not apply to
I. an investment advisory firm owned and operated by a sole proprietor.
II. a bank or savings institution.
III. an investment adviser representative.
IV. a broker-dealer or its agents if the advice is incidental to the business although there is a nominal charge for any specific investment advice given.
A) II, III and IV only.
B) II and III only.
C) I, II, and III only.
D) I, II, III, or IV.
Solutions:
| Question # 1 Answer: A | Question # 2 Answer: D | Question # 3 Answer: D | Question # 4 Answer: C | Question # 5 Answer: B |
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