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Updated: Sep 17, 2026
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FINRA Series_63 Exam Overview:
| Certification Vendor: | FINRA |
|---|---|
| Exam Name: | FINRA Series 63 Uniform Securities Agent State Law Examination |
| Exam Number: | Series 63 |
| Available Languages: | English |
| Certificate Validity Period: | Varies by state registration requirements; generally remains valid as long as state registration is active |
| Exam Format: | Multiple choice |
| Passing Score: | 72% |
| Related Certifications: | Series 6 Series 7 Series 66 Series 65 |
| Real Exam Qty: | 60 scored questions (plus unscored pretest questions may be included) |
| Exam Price: | USD 147 |
| Exam Duration: | 75 minutes |
| Recommended Training: | Securities Training Corporation (STC) Series 63 Course Kaplan Financial Education Series 63 Prep |
| Exam Registration: | FINRA Exam Registration |
| Sample Questions: | FINRA Series_63 Sample Questions |
| Exam Way: | Computer-based exam administered at Prometric testing centers and authorized online proctored locations |
| Pre Condition: | No formal prerequisites; typically taken alongside or after Series 6 or Series 7 depending on role requirements |
| Official Syllabus URL: | https://www.finra.org/registration-exams-ce/qualification-exams/series63 |
FINRA Series_63 Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Topic 1: Regulatory Provisions and Compliance | - Ethical practices and fiduciary obligations - Recordkeeping and administrative provisions - Enforcement actions and penalties |
| Topic 2: State Securities Acts and Related Rules | - Definitions and terminology under Uniform Securities Act - Exempt securities and exempt transactions - Registration of securities, broker-dealers, agents, and investment advisers |
| Topic 3: Registration Procedures and Requirements | - Registration process for agents and broker-dealers - State notice filings and renewals |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
Trevor is currently a registered agent in the state of Connecticut where he has been employed by Connect
& Company, a broker-dealer that is registered in Connecticut and has subsidiary operations in
Massachusetts, New Jersey, and New York. Trevor has moved to Massachusetts and is now associated
with one of Connect's subsidiaries, a broker-dealer registered in the state. Trevor has applied to the
Administrator of Massachusetts for registration as an agent. Can Trevor execute purchases and sales for
clients while his registration is still pending?
- A. No. Until he is informed by the Administrator of Massachusetts that his application has been accepted,
Trevor may not effect any securities transactions in Massachusetts. - B. Yes. Trevor can execute trades for new clients he solicits, but only for sixty days while his registration
is pending. - C. It depends. Trevor can execute some purchases and sales, but only for clients that he already had who
may have recently relocated to Massachusetts and only for sixty days while his registration is pending. - D. Yes. Because Trevor is a registered agent in another state and is affiliated with a broker-dealer that is
registered in the state of Massachusetts, he is not restricted from executing trades.
Correct Answer: C 🗳️
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Which of the following would not fall under the classification of "institutional investor"?
- A. Prudential Insurance
- B. Neuring Investment Advisers
- C. Chase Bank
- D. Franklin Templeton Mutual Funds
Correct Answer: B 🗳️
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Which of the following scenarios does not meet the definition of "custody" under NASAA Model Rules?
- A. An investment adviser has general power of attorney for a client and is authorized to withdraw client
funds or securities that are on deposit with a registered broker-dealer upon the investment adviser's
request. - B. An investment adviser is mistakenly sent a client's securities, but returns them to the sender within
three business days of receipt. - C. An investment adviser receives a check from a client that is written to a mutual fund and forwards the
check to the mutual fund within three business days of receipt. - D. An investment adviser keeps a client's securities in its safety deposit box.
Correct Answer: B 🗳️
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Stu Pede is an agent with broker-dealer Cavalier. A customer calls with a request to establish a classic
IRA and asks for Stu's advice regarding where the money in the IRA should be invested. Stu suggests a
municipal bond fund, explaining to his client that the interest income earned on it will be tax-free at the
federal level, and some of it may even be tax-free at the state and local levels. Has Stu engaged in any
prohibited practices?
- A. Yes. Municipal bonds are not suitable investments for a classic IRA, and Stu can have his license
revoked or suspended. - B. No. Although municipal bonds are not suitable investments for a classic IRA, Stu obviously didn't know
this and is merely guilty of stupidity. - C. Yes. Stu is an agent with a broker-dealer. He is not an investment adviser representative and is not
allowed to make recommendations regarding investments to the firm's clients. - D. No. Although Stu has given investment advice, it was solicited by the client, and Stu received no
additional compensation for the advice.
Correct Answer: A 🗳️
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Stable Corporation registered a bond issue that it plans to offer for sale in the state with the Administrator.
The bond has a par value of $1,000 and will pay interest of 7% a year, with the principal to be repaid in 5
years. The registration became effective on September 8th. The registration is effective
- A. until December 31st of the same year
- B. for two full years.
- C. until the maturity date on the bond.
- D. for one full year.
Correct Answer: D 🗳️
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