Earning the FINRA Uniform Securities Agent State Law Examination credential tells employers you can work with FINRA technologies at a professional level. Prepare for the Series_63 exam in 2026 with the 255 expert-prepared practice questions from Actual4Exams.
FINRA Series_63 Exam Overview:
| Certification Vendor: | FINRA / NASAA |
|---|---|
| Exam Name: | Uniform Securities Agent State Law Examination |
| Exam Number: | Series 63 |
| Real Exam Qty: | 65 (60 scored + 5 unscored pretest) |
| Certificate Validity Period: | Indefinite while active in industry; may be extended via EVEP |
| Exam Duration: | 75 minutes |
| Exam Price: | $147 USD |
| Exam Format: | Multiple-choice (4 options), Computer-based |
| Available Languages: | English, Spanish |
| Related Certifications: | SIE Series 7 Series 65 Series 6 Series 66 |
| Passing Score: | 72% (43 out of 60 scored questions) |
| Recommended Training: | NASAA Official Content Outline FINRA Study Resources |
| Exam Registration: | FINRA Series 63 Page Prometric Scheduling NASAA Exam Portal |
| Sample Questions: |  |
| Exam Way: | In-person at Prometric test centers; online proctored option available in some regions |
| Pre Condition: | No mandatory prerequisites; often taken alongside SIE, Series 6 or Series 7; no firm sponsorship required for U10 registration |
| Official Syllabus URL: | https://www.finra.org/registration-exams-ce/qualification-exams/series63 |
FINRA Series_63 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Regulations of Broker-Dealers | 12% | - Definition and legal status - Supervision and compliance obligations - Exclusions and exemptions from registration - Registration and post-registration requirements |
| Topic 2: Regulations of Investment Adviser Representatives | 5% | - Definition and activities requiring registration - Registration and post-registration duties - Exclusions and exemptions |
| Topic 3: Administrative Provisions and Remedies | 15% | - Powers of state securities administrators - Investigations, subpoenas, and orders - Civil and criminal liabilities - Judicial review and appeals |
| Topic 4: Regulations of Securities and Issuers | 10% | - Disclosure and anti-fraud requirements - Definition of securities - Exempt securities and exempt transactions - Registration methods: coordination, qualification, filing |
| Topic 5: Regulations of Investment Advisers | 5% | - Recordkeeping and reporting rules - Definition under Uniform Securities Act - Registration and exemptions |
| Topic 6: Ethical Practices and Fiduciary Obligations | 40% | - Conflicts of interest and compensation - Prohibited business practices - Customer suitability and disclosure - Anti-fraud provisions and misrepresentation - Handling of customer funds and securities - Advertising and communication rules |
| Topic 7: Regulations of Agents of Broker-Dealers | 13% | - Exemptions from registration - Definition and scope of activities - Termination and notice requirements - Registration procedures and Form U4 |
Common Questions About the FINRA Series_63 Exam
The Series_63 exam, officially known as FINRA Uniform Securities Agent State Law Examination, is the FINRA test that leads to the Uniform Securities Agent State Law Qualification certification at the Entry / State Level Qualification level. Passing it validates the skills employers expect from a certified professional. It is also associated with related credentials such as SIE, Series 6, Series 7, Series 65, Series 66.
The Series_63 exam contains 65 (60 scored + 5 unscored pretest) questions, and you have 75 minutes to complete them. Work out your per-question pace before test day, and flag slow items instead of stalling on them — time pressure, not knowledge, sinks many first attempts. Timed mock exams in the Actual4Exams test engines are the most reliable way to build that rhythm.
The passing score for the Series_63 exam is 72% (43 out of 60 scored questions), and the official registration fee is $147 USD. If you miss the mark, a retake means paying the full fee again, so book your seat only when you are ready. A practical benchmark: score consistently above the passing line on timed practice tests before scheduling the real exam.
No mandatory prerequisites; often taken alongside SIE, Series 6 or Series 7; no firm sponsorship required for U10 registration
Entry requirements can change, so confirm the latest conditions on the official exam page: https://www.finra.org/registration-exams-ce/qualification-exams/series63.
You can book the Series_63 exam through the official registration channels below:
Exam delivery: In-person at Prometric test centers; online proctored option available in some regions. Seats at popular test centers fill quickly, so schedule early once your preparation is on track.
FINRA recommends the following training options for FINRA Uniform Securities Agent State Law Examination candidates:
Pair any course with the 255 practice questions from Actual4Exams to measure how ready you really are before paying the exam fee.
Yes. A free PDF demo of the FINRA Uniform Securities Agent State Law Examination questions is available, so you can check the question style and answer quality before you pay. Every purchase also includes 365 days of free updates, and if the product expires you can renew the update service at a 50% discount from your member zone.
If you take the corresponding Series_63 exam within 60 days of purchase and do not pass, you can apply for a full refund under the 100% Money Back Guarantee: submit a scan of your enrollment slip and your official Score Report (PDF) within 2 days of the exam date, and the claim is processed within 7 days. Attempts made within 3 days of purchase, downloads without an actual exam attempt, free materials, and expired orders are not eligible, and the candidate name must match the payer name. Prefer new material instead of a refund? You can exchange your purchase for two free products of equal value and keep the update service on your original product. As for delivery, the files are available for instant download and are also emailed to you within one minute of payment — if nothing arrives within 2 hours, contact customer service. There is no limit on how many computers you can install the product on.
The official FINRA Uniform Securities Agent State Law Examination outline is organized into 7 domains. The first three are:
- Regulations of Investment Advisers — 5% of the exam
- Regulations of Broker-Dealers — 12% of the exam
- Administrative Provisions and Remedies — 15% of the exam
See the complete exam topics section above for the full outline and the weighting of every domain.
FINRA Uniform Securities Agent State Law Examination Sample Questions:
Which of the following is not a method that can be used to register securities with the state?
- A. registration by qualification
- B. registration by coordination
- C. registration by exception
- D. registration by notification
Correct Answer: C 🗳️
Explanation: Only visible for Actual4Exams members. You can sign-up / login (it's free).
Ms. Ding is an administrative assistant to the manager of a mutual fund. Most of her day is spent entering
data onto a spreadsheet for her boss and answering phone calls. Some of the calls require her to provide
information about the some of the fund's financial aspects, such as its closing net asset value on the
previous day. What type of registration does Ms. Ding require in order to perform her duties?
- A. Ms. Ding needs to apply for registration as an investment adviser representative since she is providing
information about a specific mutual fund. - B. Ms. Ding does not need to apply for any type of registration. She is merely supplying information and is
not engaged in the purchase or sale of the fund shares. - C. Ms. Ding will need to apply for registration as both an agent and an investment adviser representative
in this case since she is providing information about a mutual fund. - D. Ms. Ding needs to apply for registration as an agent since she is providing financial information.
Correct Answer: B 🗳️
Explanation: Only visible for Actual4Exams members. You can sign-up / login (it's free).
A variable annuity is:
- A. not a security, but is still required to be registered with the state before it can be offered for sale.
- B. a security and, therefore, has to be registered with the state before it can be offered for sale.
- C. a security, but is exempt from state registration.
- D. not a security and, therefore, does not have to be registered with the state.
Correct Answer: C 🗳️
Explanation: Only visible for Actual4Exams members. You can sign-up / login (it's free).
Which of the following trades is illegal?
- A. a market-not-held order
- B. a short sale
- C. the sale of a mutual fund if the purchaser hasn't received a prospectus
- D. a margin transaction
Correct Answer: C 🗳️
Explanation: Only visible for Actual4Exams members. You can sign-up / login (it's free).
Finn Nance has recently passed his CFP exam and is now a certified financial planner. He has new
business cards printed that have the words "Certified Financial Planner" printed under his picture. In doing
so,
- A. Finn has not violated any laws or engaged in any prohibited practices.
- B. Finn has violated a securities law. The Uniform Securities Act prohibits anyone from using the word
"certified" on any advertisement for services. - C. Finn is not in violation of any laws as long as he has notified the state Administrator of his new
designation and his new logo. - D. Finn has possibly violated a state securities regulation. The Administrator in many states prohibits the
use of the word "certified" on any advertisement for services.
Correct Answer: A 🗳️
Explanation: Only visible for Actual4Exams members. You can sign-up / login (it's free).
No help, Full refund!
Actual4Exams confidently stands behind all its offerings by giving Unconditional "No help, Full refund" Guarantee. Since the time our operations started we have never seen people report failure in the FINRA Series_63 exam after using our products. With this feedback we can assure you of the benefits that you will get from our products and the high probability of clearing the Series_63 exam.
We still understand the effort, time, and money you will invest in preparing for your certification exam, which makes failure in the FINRA Series_63 exam really painful and disappointing. Although we cannot reduce your pain and disappointment but we can certainly share with you the financial loss.
This means that if due to any reason you are not able to pass the Series_63 actual exam even after using our product, we will reimburse the full amount you spent on our products. you just need to mail us your score report along with your account information to address listed below within 7 days after your unqualified certificate came out.
