Purchase FINRA : Series_63 Exam Materials and then pass exam easily
Updated: Oct 12, 2026
No. of Questions: 255 Questions & Answers with Testing Engine
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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 |
| Exam Format: | Multiple-choice |
| Related Certifications: | FINRA Series 66 FINRA Securities Industry Essentials (SIE) FINRA Series 65 FINRA Series 7 |
| Certificate Validity Period: | No fixed expiration, typically valid for 2–5 years depending on state registration rules |
| Real Exam Qty: | 65 (60 scored + 5 unscored) |
| Exam Duration: | 75 minutes |
| Available Languages: | English |
| Passing Score: | 43 out of 60 scored questions (72%) |
| 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: State Securities Acts and Related Rules | 60% | - Uniform Securities Act principles
|
| Topic 2: Ethical Practices and Fiduciary Obligations | 40% | - Client-related rules
|
| Topic 3: Regulation of Broker-Dealers and Agents | - Agent conduct and obligations
| |
| Topic 4: Regulation of Investment Advisers and Representatives | - Investment Adviser Representatives
|
FINRA Uniform Securities Agent State Law Examination Sample Questions:
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 Stu has given investment advice, it was solicited by the client, and Stu received no
additional compensation for the advice. - C. No. Although municipal bonds are not suitable investments for a classic IRA, Stu obviously didn't know
this and is merely guilty of stupidity. - D. 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.
Correct Answer: A 🗳️
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Ms. Naivete gave Mr. Smooth, owner of Smooth Construction, $40,000 in return for a promissory note that
promised to pay interest at the rate of 8% a quarter, with a repayment of principal at the end of two years.
The money would be used by Mr. Smooth to rehab a few beach condo units that had been severely
hurricane-damaged and that Mr. Smooth had been able to purchase for "pennies on the dollar," or so he
said. The first units would be completed within a month, and the rents would be used to make the interest
payments. The investment was almost as risk-free as U.S. government bonds, Mr. Smooth claimed. By
the end of the second year, Ms. Naivete had received a lot of fast talk and only one of the promised
interest payments. Have there been any violation of securities laws in this instance?
- A. Yes. Mr. Smooth was required to register the promissory note before he offered it for sale.
- B. Both B and C are true statements.
- C. No. This was simply a loan transacted between two parties.
- D. Yes. Ms. Naivete has been defrauded by Mr. Smooth.
Correct Answer: B 🗳️
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The maximum monetary civil liability that a person who has violated a securities law can be expected to
pay is
- A. the original investment + a state-deemed appropriate interest rate + court costs and reasonable
attorneys' fees + any state-determined "pain and suffering" award - any income the victim has received on
the investment. - B. the original investment + a state-deemed appropriate interest rate + court costs and reasonable
attorneys' fees - any income the victim has received on the investment. - C. the original investment + a state-deemed appropriate interest rate + court costs and reasonable
attorneys' fees + any state-determined "pain and suffering" award. - D. the original investment + a state-deemed appropriate interest rate + court costs and reasonable
attorneys' fees + any income the victim has received on the investment.
Correct Answer: B 🗳️
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Which of the following entities would be required to register with the state as a broker-dealer under the
guidelines of the Uniform Securities Act (USA)?
- A. None of the above entities would be required to register with the state as a broker-dealer under the guidelines of the Uniform Securities Act.
- B. an agent who executes the purchase and sale of stocks and bonds for his clients
- C. an underwriter with no offices in the state that is helping a firm that is incorporated within the state with the sale of its new bond issue to insurance companies
- D. a credit union that operates within the state and provides loans to its members
Correct Answer: A 🗳️
BondsRUs is a broker-dealer that (unsurprisingly) specializes in bonds. The firm has found that it is able
to sell Treasury bonds that it buys for $90 per $100 of par value for $99 per $100 of par value to some of
its more naive clients, who never pay attention to the confirmation statements BondsRUs sends them.
BondsRUs is guilty of
- A. nothing. It is acting as a dealer in bonds and, as such, can charge its clients whatever the clients are
willing to pay. - B. both B and C.
- C. fraud.
- D. overcharging its clients by unreasonable markups. A $9 dealer's spread on Treasury bonds is
unwarranted.
Correct Answer: D 🗳️
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