Purchase FINRA : Series63 Exam Materials and then pass exam easily
Updated: Jul 22, 2026
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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) |
| Exam Duration: | 75 minutes |
| Real Exam Qty: | 60 scored multiple-choice questions |
| Exam Price: | $147 USD |
| Passing Score: | 72% (43 out of 60 questions) |
| Exam Format: | Multiple-choice, Computer-based exam |
| Related Certifications: | Series 6 Series 7 Series 66 |
| Available Languages: | English |
| Recommended Training: | Securities Training Corporation (STC) - Series 63 Kaplan Financial Education - Series 63 |
| Exam Registration: | FINRA Series 63 Exam Registration |
| Sample Questions: | FINRA Series63 Sample Questions |
| 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 |
|---|---|
| State Securities Acts and Regulations | - Uniform Securities Act (USA) framework - Registration of securities and exemptions |
| Administrative Provisions and Enforcement | - State enforcement powers and penalties - Recordkeeping and reporting requirements |
| Regulation of Investment Advisers and Agents | - Broker-dealer regulation and supervision - Registration requirements for agents |
| Ethical Practices and Fiduciary Responsibilities | - Prohibited practices and fraud prevention - Disclosure obligations and client protection |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
1. The settlement date refers to
A) the date the order to purchase or sell a security is actually executed. This may differ from the date that the order is sent to the market in the cases of limit or stop orders.
B) the date the order to purchase or sell the security is sent to the market.
C) the date the buyer must pay for the securities purchased.
D) the latest date on which broker-dealers can file their quarterly financial statements with the Administrator of the state.
2. Which of the following does not necessarily have to be included in the contract between an investment adviser and an individual client, according to the Uniform Securities Act (USA)?
A) if there is any change in the partners within a reasonable time perioda statement of the investment policy that has been agreed upon between the adviser and the client
B) if the investment adviser is a partnership, a statement indicating that the client will be notified
C) the compensation agreement, which cannot be a percentage of the capital gains or capital appreciation earned on the portfolio for all but the wealthiest of individual clients.
D) a statement stipulating that the contract cannot be assigned to another party without the client's consent
3. An arrangement wherein a terminally ill person sells a second party his life insurance policy at a discount from its face value, giving the buyer the right to the policy's face value when the seller dies is called a:
A) viatical settlement.
B) life straddle.
C) death warrant.
D) deceased option.
4. Fly-By-Night Investment Advisers has closed its doors.
Which of the following statements is true?
A) Fly-By-Night must send all records of client transactions and communications to the state Administrator for safekeeping.
B) Fly-By-Night must send each of its former clients its records of all that client's transactions and communications with the firm over the past five years.
C) Fly-By-Night must preserve and maintain all records, including client transactions and communications, advertising materials, and financial statements of the now-defunct business for five years.
D) Fly-By-Night is required to shred all documentation of client transactions and communications.
5. It has come to the attention of the Administrator of the state that Samuel Shyster provided false information on his application to become a registered investment adviser with the state. Prior to revoking Samuel's license, the Administrator will provide Samuel with which of the following?
I. prior notice
II. an opportunity to fill out a new registration statement
III. an opportunity for a hearing
IV. a written statement regarding the facts and the legal consequences
A) I, II, and III
B) I, II, and IV
C) I, III, and IV
D) I, II, III, and IV
Solutions:
| Question # 1 Answer: C | Question # 2 Answer: A | Question # 3 Answer: A | Question # 4 Answer: C | Question # 5 Answer: C |
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