Learn with FINRA : Series_63 training material for 100% pass
Updated: Jul 20, 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 |
| Certificate Validity Period: | No fixed expiration, typically valid for 2–5 years depending on state registration rules |
| Available Languages: | English |
| Exam Duration: | 75 minutes |
| Related Certifications: | FINRA Securities Industry Essentials (SIE) FINRA Series 7 FINRA Series 66 FINRA Series 65 |
| Exam Format: | Multiple-choice |
| Passing Score: | 43 out of 60 scored questions (72%) |
| Real Exam Qty: | 65 (60 scored + 5 unscored) |
| Exam Price: | USD 147 |
| 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 |
|---|---|---|
| Topic 1: Regulation of Investment Advisers and Representatives | - Investment Adviser registration
| |
| Topic 2: State Securities Acts and Related Rules | 60% | - Administrator Powers
|
| Topic 3: Ethical Practices and Fiduciary Obligations | 40% | - Client-related rules
|
| Topic 4: Regulation of Broker-Dealers and Agents | - Agent conduct and obligations
|
FINRA Uniform Securities Agent State Law Examination Sample Questions:
1. Cassie Clueless has recommended that a client purchase shares of a mutual fund prior to its ex-dividend
date, so that the client will receive the dividends when they are distributed. In which of the following
situations might this recommendation be justifiable and not in violation of NASAA rules?
I. The investor has refused to provide Cassie any information regarding his investment goals.
II. The investor is a young professional with an investment goal of long-term capital appreciation.
III. The investor is a retiree in a low tax bracket and needs current income to augment her social security
check.
A) I only
B) I and II only
C) It is always in violation of NASAA rules to recommend that a client purchase shares of a mutual fund
prior to its ex-dividend date.
D) III only
2. An investment adviser may not
A) also be registered as a broker-dealer in the state.
B) recommend a stock to a client that the adviser itself holds without disclosing to the client that the
adviser owns the stock.
C) accept any kind of soft dollar compensation for using certain broker-dealers to execute trades on their
clients' accounts.
D) take a position-either long or short-in securities in which any of its clients have a position.
3. You have passed the necessary exams (congratulations!) and are applying for registration as a securities
agent. It is already the end of September. Therefore, you must pay
A) the full annual fee, and your license will expire on December 31st next year.
B) one-fourth of the annual fee required since only one quarter of the year remains.
C) the full annual fee, and your license will expire on December 31st this year.
D) the full annual fee, and your license will expire on September 30th next year.
4. Which of the following persons would not be required to register with the state as an agent under the
guidelines of the Uniform Securities Act (USA)?
A) John is employed by TrustUs Corporation to sell shares of the firm's stock to the firm's employees and
receives a commission on the shares he sells.
B) Stefan is a sales representative for SecureMoney Broker-Dealers and sells only mutual fund shares.
C) Preetham is part-owner of SecureMoney Broker-Dealers and executes the purchase and sale of
securities for the firm's customers.
D) Keith is a salaried employee of Middlesex County in Massachusetts who sells revenue bonds issued by
the county to the public.
5. In which of the following cases is an investment adviser allowed to be compensated with a share of the
capital gains of the client's portfolio?
I. The client is a mutual fund.
II. The client is a credit union.
III. The client is a private client whose minimum net worth is $1 million or more.
IV. The client is a private client who has at least $750,000 invested through the investment adviser.
A) I and II only
B) none of the above. An investment adviser is never allowed to share in the capital gains earned on
C) I, II, and IV only
D) I, II, and III only
Solutions:
| Question # 1 Answer: D | Question # 2 Answer: B | Question # 3 Answer: C | Question # 4 Answer: D | Question # 5 Answer: C |
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