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Updated: Sep 21, 2026
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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 |
| Available Languages: | English |
| Real Exam Qty: | 65 (60 scored + 5 unscored) |
| Certificate Validity Period: | No fixed expiration, typically valid for 2–5 years depending on state registration rules |
| Related Certifications: | FINRA Securities Industry Essentials (SIE) FINRA Series 66 FINRA Series 7 FINRA Series 65 |
| Exam Price: | USD 147 |
| Passing Score: | 43 out of 60 scored questions (72%) |
| Exam Duration: | 75 minutes |
| 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:
| Section | Weight | Objectives |
|---|---|---|
| Regulation of Broker-Dealers and Agents | - Agent conduct and obligations
| |
| State Securities Acts and Related Rules | 60% | - Uniform Securities Act principles
|
| Regulation of Investment Advisers and Representatives | - Investment Adviser registration
| |
| Ethical Practices and Fiduciary Obligations | 40% | - Ethics in securities business
|
FINRA Uniform Securities Agent State Law Examination Sample Questions:
Ms. Ding is an administrative assistant to the manager of a mutual fund. Most of her day is spent entering
data onto a spreadsheet for her boss and answering phone calls. Some of the calls require her to provide
information about the some of the fund's financial aspects, such as its closing net asset value on the
previous day. What type of registration does Ms. Ding require in order to perform her duties?
- A. Ms. Ding will need to apply for registration as both an agent and an investment adviser representative
in this case since she is providing information about a mutual fund. - B. Ms. Ding needs to apply for registration as an agent since she is providing financial information.
- C. Ms. Ding does not need to apply for any type of registration. She is merely supplying information and is
not engaged in the purchase or sale of the fund shares. - D. Ms. Ding needs to apply for registration as an investment adviser representative since she is providing
information about a specific mutual fund.
Correct Answer: C 🗳️
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Which of the following funds can an agent indicate is "no load?"
- A. a fund with no front-end or back-end load that has 12b-1 fees equal to 0.30% of the average net assets
of the fund. - B. a fund with no front-end load that has 12b-1 fees equal to 0.10% of the average net assets of the fund
and a rear-end load that varies depending on how long the investor has held the shares. - C. a fund with no front-end or back-end load that has 12b-1 fees equal to 0.25% of the average net assets
of the fund. - D. Both A and C can be advertised as "no load" funds.
Correct Answer: C 🗳️
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Which of the following securities would not necessarily be exempt from state registration?
- A. a stock listed on the Tokyo Stock Exchange
- B. a bond guaranteed by the Canadian government
- C. a bond issued by another state's employees' credit union
- D. a stock listed as a NASDAQ National Market Issue.
Correct Answer: A 🗳️
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Which of the following orders can an Administrator issue without providing prior notice?
- A. license suspension
- B. license denial
- C. license revocation
- D. cease and desist
Correct Answer: D 🗳️
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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.
Correct Answer: B 🗳️
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