Exam Name: Uniform Securities Agent State Law Examination
Certification Provider: FINRA
Corresponding Certification: FINRA Certification
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Updated: Oct 19, 2026
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- Total Questions: 255
- Updated on: Oct 19, 2026
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- Total Questions: 255
- Updated on: Oct 19, 2026
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Series_63 PDF Practice Q&A's
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- Total Questions: 255
- Updated on: Oct 19, 2026
- Price: $69.00
In 2026, exam formats keep evolving, and static files go stale fast. The FINRA Uniform Securities Agent State Law Examination bank at TestKingIT is reviewed continuously, and 255 refreshed practice questions for Series_63 arrive by email whenever a new version is released.
FINRA Series_63 Exam Overview:
| Certification Vendor: | FINRA / NASAA |
|---|---|
| Exam Name: | Uniform Securities Agent State Law Examination |
| Exam Number: | Series 63 |
| Related Certifications: | Series 7 Series 6 Series 65 Series 66 SIE |
| Passing Score: | 72% (43 out of 60 scored questions) |
| Exam Format: | Computer-based, Multiple-choice (4 options) |
| Available Languages: | Spanish, English |
| Exam Duration: | 75 minutes |
| Exam Price: | $147 USD |
| Certificate Validity Period: | Indefinite while active in industry; may be extended via EVEP |
| Real Exam Qty: | 65 (60 scored + 5 unscored pretest) |
| Recommended Training: | FINRA Study Resources NASAA Official Content Outline |
| Exam Registration: | NASAA Exam Portal Prometric Scheduling FINRA Series 63 Page |
| Sample Questions: | DOWNLOAD DEMO |
| 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: Ethical Practices and Fiduciary Obligations | 40% | - Customer suitability and disclosure - Handling of customer funds and securities - Anti-fraud provisions and misrepresentation - Advertising and communication rules - Prohibited business practices - Conflicts of interest and compensation |
| Topic 2: Regulations of Agents of Broker-Dealers | 13% | - Termination and notice requirements - Exemptions from registration - Definition and scope of activities - Registration procedures and Form U4 |
| Topic 3: Regulations of Securities and Issuers | 10% | - Registration methods: coordination, qualification, filing - Exempt securities and exempt transactions - Disclosure and anti-fraud requirements - Definition of securities |
| Topic 4: Regulations of Broker-Dealers | 12% | - Registration and post-registration requirements - Definition and legal status - Supervision and compliance obligations - Exclusions and exemptions from registration |
| Topic 5: Administrative Provisions and Remedies | 15% | - Civil and criminal liabilities - Powers of state securities administrators - Judicial review and appeals - Investigations, subpoenas, and orders |
| Topic 6: Regulations of Investment Adviser Representatives | 5% | - Registration and post-registration duties - Definition and activities requiring registration - Exclusions and exemptions |
| Topic 7: Regulations of Investment Advisers | 5% | - Recordkeeping and reporting rules - Definition under Uniform Securities Act - Registration and exemptions |
What to Know Before Buying FINRA Uniform Securities Agent State Law Examination
FINRA Series 63 Page: register for Series_63
NASAA Exam Portal: register for Series_63
Prometric Scheduling: register for Series_63
No mandatory prerequisites; often taken alongside SIE, Series 6 or Series 7; no firm sponsorship required for U10 registration
- Regulations of Agents of Broker-Dealers (13%)
- Regulations of Broker-Dealers (12%)
- Regulations of Investment Adviser Representatives (5%)
Allocate study time in proportion to each topic's weight.
The Series_63 exam has 65 (60 scored + 5 unscored pretest) questions with a 75 minutes-minute time limit. Practicing under the same constraints on TestKingIT builds the pacing habits you will need on test day.
The PC engine installs on your computer and simulates the real exam scenario with timed tests and performance marking. The online engine runs in your browser, needs no installation, works on most devices, and is often the more stable option when you switch machines frequently.
NASAA Official Content Outline: Visit official page
FINRA Study Resources: Visit official page
A passing result on Series_63 requires 72% (43 out of 60 scored questions), and the official exam fee is $147 USD. Knowing both numbers upfront helps you budget your study time and money realistically.
The package includes 255 practice questions for the Series_63 exam, covering the current FINRA Uniform Securities Agent State Law Examination objectives with verified answers.
We support Credit Card payment because it is built around buyer protection: if a purchase issue ever arises, the card network's dispute process protects your money. Combined with our refund policy, that keeps your FINRA Uniform Securities Agent State Law Examination purchase low-risk.
FINRA Uniform Securities Agent State Law Examination Sample Questions:
Maddie, a registered agent affiliated with broker-dealer QuikDeals, quit her job on the spur of the moment.
Under the guidelines of the Uniform Securities Act (USA), who is responsible for notifying the
Administrator?
- A. QuikDeals has the sole responsibility for notifying the Administrator. Maddie is no longer deemed to be
an agent after she terminated her relationship with QuikDeals, so she need do nothing. - B. It depends. If Maddie becomes affiliated with another broker-dealer within thirty days, then she must
notify the Administrator of her termination with QuikDeals and her current affiliation with the new firm.
Otherwise, only QuikDeals must notify the Administrator. - C. Both QuikDeals and Maddie are responsible for notifying the Administrator.
- D. Maddie has the sole responsibility for notifying the Administrator.
Correct Answer: C 🗳️
Explanation: Only visible for TestKingIT members. You can sign-up / login (it's free).
Which of the following practices would be prohibited in connection with the sale of investment company
shares?
I. selling a client shares of a load stock fund when a no load stock fund with the same investment
objective exists
II. selling the client shares of five S&P 500 Index mutual funds, offered by different fund families
III. encouraging a client to swap his money between two funds in the same family without informing him
that this creates a taxable event
- A. II and III only
- B. I, II, and III
- C. I and III only
- D. I and II only
Correct Answer: A 🗳️
Explanation: Only visible for TestKingIT members. You can sign-up / login (it's free).
Which of the following would a firm not be expected to provide to the Administrator when registering an
issue of securities with the state?
- A. The firm will be expected to provide all of the above to the Administrator when registering an issue of
securities with the state. - B. the agreement among the underwriters themselves
- C. the agreement between the issuing firm and the underwriters
- D. all sales and advertising materials that will be used in conjunction with the offering.
Correct Answer: A 🗳️
Explanation: Only visible for TestKingIT members. You can sign-up / login (it's free).
Which of the following would not fall under the classification of "institutional investor"?
- A. Chase Bank
- B. Franklin Templeton Mutual Funds
- C. Neuring Investment Advisers
- D. Prudential Insurance
Correct Answer: C 🗳️
Explanation: Only visible for TestKingIT members. You can sign-up / login (it's free).
The Administrator of a state will deny the registration of a security if
I. the mandated filing fee has not been paid.
II. the compensation of the underwriters is excessive.
III. the registration statement is incomplete.
IV. the issuer is registering the security through the registration by coordination process and has not
complied with all the stipulated requirements.
- A. I, III or IV only
- B. III or IV only
- C. I or III only
- D. I, II, III, or IV
Correct Answer: D 🗳️
Explanation: Only visible for TestKingIT members. You can sign-up / login (it's free).
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