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Series 63 – Uniform Securities Agent State Law

Series 63 – Uniform Securities Agent State Law

Free Practice Test

FREE
  • TypeExam Format
  • No. of Questions20
  • AccessImmediate
  • Access DurationLife Long Access
  • Exam DeliveryOnline
  • Test ModesPractice

Practice Exam

$16.99
  • TypeExam Format
  • No. of Questions100
  • AccessImmediate
  • Access DurationLife Long Access
  • Exam DeliveryOnline
  • Test ModesPractice, Exam

Online Course

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  • Content TypeVideo
  • DeliveryOnline
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  • Access DurationLife Long Access
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FINRA Series 63 - Uniform Securities Agent State Law


The Series 63 exam — the Uniform Securities State Law Examination is a North American Securities Administrators Association (NASAA) exam administered by FINRA. The Series 63 is a securities exam and license entitling the holder to solicit orders for any type of security in a particular state. To obtain a Series 63 license, the applicant must pass an exam and possess knowledge of ethical practices and fiduciary obligations


Who should take the exam?

Candidates aspiring to become a securities sales agent, an investment banker, a broker or another professional within the securities industry, then you will most likely need to become licensed through FINRA – The Financial Industry Regulatory Authority. Some of these professions include-

  • Financial Advisers
  • Investment Bankers
  • Financial Services Sales Agents
  • Securities Sales Representatives
  • Insurance Agents
  • Financial Analysts
  • Futures Traders
  • Investment Advisers
  • Commodity Trading Advisors
  • Equity Traders
  • Retail Broker-Dealers
  • Stock Brokers


Course Outline

The important topics covered in this exam are:

  • Regulation of Investment Advisers Including State-Registered and Federal Covered Advisers 5%
  • Regulation of Investment Adviser Representatives 5%
  • Regulation of Broker-Dealers 15%
  • Regulation of Agents of Broker-Dealers 15% 
  • Regulation of Securities and Issuers 5% 
  • Remedies and Administrative Provisions 10%
  • Communication with Customers and Prospects 20%
  • Ethical Practices and Obligations 25%


Boost your learning and get ready to qualify FINRA Series 63 – Uniform Securities Agent State Law exam with hundreds of practice exam. Start Preparing Now!

Exam Format and Information

Exam Name Uniform Securities Agent State Law

Exam Code Series 63
Exam Duration 75 mins
Exam Format Multiple Choice Questions
Exam Type Professional
Number of Questions 60 Questions
Eligibility/Prerequisite As suggested
Exam Fee $135 USD
Exam Language Eglish
Pass Score 43/60

Series 63 – Uniform Securities Agent State Law FAQs

In this exam the main highlighted areas are: • Regulation of Investment Advisers Including State-Registered and Federal Covered Advisers 5% • Regulation of Investment Adviser Representatives 5% • Regulation of Broker-Dealers 15% • Regulation of Agents of Broker-Dealers 15% • Regulation of Securities and Issuers 5% • Remedies and Administrative Provisions 10% • Communication with Customers and Prospects 20% • Ethical Practices and Obligations 25%
The cost of the Series 63 exam is $135.
The waiting period for the Series 63 is the same as FINRA’s other exams. After the first and second failed attempts, there will be a 30-day waiting period. After the third failed attempt, there will be a 180-day waiting period. For any attempts after the third attempt, there is also a 180-day waiting period between each exam.
Most states require the Uniform Securities Agent State Law (Series 63) Exam for individuals who will transact a securities business. This qualification requirement adds onto FINRA's requirements.
You must be 18 years or older to take the SIE.
The passing score for the Series 63 -he/she must correctly answer at least 43 of the 60 scored questions.
Candidates aspiring to become a securities sales agent, an investment banker, a broker or another professional within the securities industry, then you will most likely need to become licensed through FINRA – The Financial Industry Regulatory Authority.
The Series 63 exam — the Uniform Securities State Law Examination — is a North American Securities Administrators Association (NASAA) exam administered by FINRA. NASAA is in the process of updating questions on the Series 63, 65, and 66 exams in light of the recently enacted SECURE Act. The Series 63 is a securities exam and license entitling the holder to solicit orders for any type of security in a particular state. To obtain a Series 63 license, the applicant must pass an exam and possess knowledge of ethical practices and fiduciary obligations
This exam will cost you $135 USD including the additional taxes.
You will get 75 minutes to complete the exam.
FINRA certification contains 60 questions which need to be completed in 75 minutes.
Testpreptraining gives you the option to take a free practice test with different and unique questions before purchasing the complete test.
Yes, you will be given access to the practice sets which will be available once you have registered for the course.
You will get full assistance in any query related to the FINRA Series 63 exam when you prepare with our test series. There is a team of experts who will handle your query.
Yes, you can cancel your enrollment if necessary. We will refund the course price after deducting an administration fee. For more information regarding this you can contact us at our Helpdesk.
Testpreptraining training course is designed to give you all of the skill-sets necessary to successfully complete the required projects and help you pass the FINRA Series 63 exam in your first attempt.
Yes, you will be provided with full assistance with our team of experts, who keeps on updating the tips and tricks regarding the exam on our blog.
At Testpreptraining you will get a Unique set of questions shuffled with different levels which will help you check your skills and weak areas. Doing these questions will increase your knowledge to score better in the exam.

 

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