Exam Name: Uniform Securities Agent State Law Examination
Certification Provider: FINRA
Corresponding Certification: Uniform Securities State Law
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- Total Questions: 251
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FINRA Series63 Exam Overview:
| Certification Vendor: | FINRA |
|---|---|
| Exam Name: | Uniform Securities Agent State Law Examination |
| Exam Number: | Series 63 |
| Certificate Validity Period: | Indefinite (subject to state registration and regulatory requirements) |
| Related Certifications: | Series 6 Series 7 Series 66 |
| Exam Price: | $147 USD |
| Available Languages: | English |
| Exam Format: | Computer-based exam, Multiple-choice |
| Passing Score: | 72% (43 out of 60 questions) |
| Real Exam Qty: | 60 scored multiple-choice questions |
| Exam Duration: | 75 minutes |
| Recommended Training: | Securities Training Corporation (STC) - Series 63 Kaplan Financial Education - Series 63 |
| Exam Registration: | FINRA Series 63 Exam Registration |
| Sample Questions: | DOWNLOAD DEMO |
| Exam Way: | Computer-based, proctored at authorized testing centers (Prometric) |
| Pre Condition: | No formal prerequisite, but typically taken alongside or after Series 6 or Series 7 for state registration purposes |
| Official Syllabus URL: | https://www.finra.org/registration-exams-ce/qualification-exams/series63 |
FINRA Series63 Exam Syllabus Topics:
| Section | Objectives |
|---|---|
| Topic 1: State Securities Acts and Regulations | - Uniform Securities Act (USA) framework - Registration of securities and exemptions |
| Topic 2: Regulation of Investment Advisers and Agents | - Registration requirements for agents - Broker-dealer regulation and supervision |
| Topic 3: Ethical Practices and Fiduciary Responsibilities | - Disclosure obligations and client protection - Prohibited practices and fraud prevention |
| Topic 4: Administrative Provisions and Enforcement | - Recordkeeping and reporting requirements - State enforcement powers and penalties |
Series63 Exam FAQ and Honest Answers
Computer-based, proctored at authorized testing centers (Prometric) Register for the FINRA Uniform Securities Agent State Law Examination exam through these official channels:
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The FINRA Uniform Securities Agent State Law Examination exam requires 72% (43 out of 60 questions) to pass, and registration costs $147 USD. A failed attempt means paying the same fee again — a readiness check with the NewPassLeader engines before booking is the cheaper option.
The official FINRA Uniform Securities Agent State Law Examination outline defines 4 domains. The leading three are Administrative Provisions and Enforcement, Ethical Practices and Fiduciary Responsibilities, and Regulation of Investment Advisers and Agents. The full list is in the topics section above, and NewPassLeader's 251 practice questions cover each one.
The FINRA Uniform Securities Agent State Law Examination exam contains 60 scored multiple-choice questions to complete within 75 minutes. Timed simulation in the NewPassLeader Desktop Test Engine teaches that rhythm before exam day does.
No formal prerequisite, but typically taken alongside or after Series 6 or Series 7 for state registration purposes Since requirements change over time, confirm the latest on the official FINRA exam page before scheduling.
Three versions of the same study materials: a printable, expert-prepared PDF with free demo download and instant access; a Desktop Test Engine for Windows that simulates the real exam with two practice modes and works offline; and an Online Test Engine for any browser on Windows, Mac, Android, and iOS with test history and performance review. All 251 practice questions are identical across versions. Every purchase includes 365 days of free updates, a 50% renewal discount afterward, and unlimited computer installations.
The Series63 exam is a FINRA certification exam validating the FINRA Uniform Securities Agent State Law Examination syllabus shown above. It belongs to these credential paths: Series 6, Series 7, Series 66. Earning it in 2026 demonstrates ability in a form employers recognize — and NewPassLeader prepares candidates with 251 practice questions in PDF, Desktop Test Engine, and Online Test Engine formats.
FINRA recommends these training resources for the FINRA Uniform Securities Agent State Law Examination exam:
Follow the training with steady self-testing — the 251 practice questions from NewPassLeader help you apply theory and fill any gaps the training leaves.
FINRA Uniform Securities Agent State Law Examination Sample Questions:
Which of the following does not describe a prohibited activity by investment advisers and their representatives, according to NASAA Model Rules?
- A. A 72-year-old retired social worker comes to Simon LaGree for investment advice. She has $50,000 to invest. Simon recommends she invest half of it in an international growth mutual fund and half in a variable annuity.
- B. A new client comes to Simon LaGree for investment advice. The client has $25,000 to invest. Simon tells the client that it will cost the client $5,000 to have a customized financial plan developed for him, but after that the client needs to pay only 5% of the total value of the assets under management each quarter.
- C. All of the above describe prohibited practices.
- D. The agreement that Simon LaGree has his clients sign indicates that LaGree uses SecureMoney Broker-Dealers in executing trades for his clients and that, in return, LaGree receives software from the broker-dealer that allows LaGree to perform some fundamental and technical analysis.
Correct Answer: D 🗳️
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Mr. Sailor is cruising through the Bahamas when he learns that a healthcare company in which he owns stock is being sued by former patients, doctors, nurses, and even the federal government. He doesn't have his broker's number handy, and he doesn't have internet access, so he calls his son and tells him to call the broker and instruct the broker to sell his shares. As a registered agent for his broker, you take the call.
Should you execute this transaction?
- A. Yes, as long as the son presents proper identification that proves his relationship to Mr. Sailor, such as a birth certificate.
- B. Yes. This is a legitimate request from a client, and you are required to follow the client's instructions.
- C. Yes, as long as the son is at least 21 years old and not a minor child.
- D. No, not unless you and your broker-dealer have a written document that gives Mr. Sailor's son the power-of-attorney to trade on his account.
Correct Answer: D 🗳️
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AllTime Investment Advisers advertises that its phones are manned 24/7, so that a client "doesn't have to lie awake all night worrying about a financial problem." In fact, AllTime does have a answering service that answers calls in the evenings and on the weekends when its offices are closed. The service informs the caller of the firm's business hours, which will be the earliest opportunity the caller will have to talk to an investment adviser representative.
Is this a violation of any securities laws?
- A. Yes. The Uniform Securities Act prohibits investment advisers from making deceptive statements in the solicitation of clients as well as in advising clients.
- B. No. The firm's phones are manned 24/7, so it hasn't lied.
- C. It depends. If, before a client signs a contract with the firm, it is made clear that investment adviser representatives are not, in fact, available to him 24/7, then AllTime is in the clear.
- D. No. It's not a violation of any securities laws, but the firm probably won't retain many clients this way.
Correct Answer: A 🗳️
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The 2003 NASAA Model Rule requires that investment advisers that are not federal covered maintain their records for at least
- A. five years.
- B. seven years.
- C. three years.
- D. Investment advisers must maintain their records for as long as they remain registered with the state.
Correct Answer: A 🗳️
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Layered Corporation wants to issue a bond that will have warrants attached. Each warrant gives the holder the right to buy 5 shares of Layered's common stock at a price stipulated on the warrant.
In this instance, Layered must file to register which of the following securities with the state?
I. the bonds
II. the warrants
III. the common stock
- A. I, II, and III
- B. I only
- C. I and II only
- D. I and III only
Correct Answer: A 🗳️
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