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Real FINRA Series63 practice exam questions for easy pass!
Updated: Sep 12, 2026
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FINRA Series63 Exam Overview:
| Certification Vendor: | North American Securities Administrators Association (NASAA) / FINRA |
|---|---|
| Exam Name: | Uniform Securities Agent State Law Examination |
| Exam Number: | Series 63 |
| Available Languages: | English |
| Exam Price: | USD 147 |
| Exam Duration: | 75 minutes |
| Exam Format: | Multiple Choice |
| Passing Score: | 43 out of 60 (72%) |
| Related Certifications: | Series 7 Series 66 Series 6 SIE (Securities Industry Essentials) |
| Certificate Validity Period: | Valid while registered; score generally valid for ~2 years if not employed |
| Real Exam Qty: | 60 scored + 5 unscored pretest |
| Sample Questions: | FINRA Series63 Sample Questions |
| Exam Way: | Administered at Prometric testing centers (computer-based), closed-book with supervised proctor. |
| Pre Condition: | No formal prerequisites; often taken with SIE and a representative-level exam (e.g., Series 7 or Series 6) for full securities registration. |
| Official Syllabus URL: | https://www.finra.org/registration-exams-ce/qualification-exams/series63 |
FINRA Series63 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Remedies and Administrative Provisions | 9% | - State Administrator authority - Enforcement and penalties |
| Topic 2: Regulations of Securities and Issuers | 9% | - Securities registration and exemptions - Issuer regulation principles |
| Topic 3: Regulation of Broker-Dealer Agents | 13% | - Agent registration requirements - Associated person regulations |
| Topic 4: Ethical Practices and Obligations | 25% | - Conflicts of interest and fiduciary duties - Fraudulent and unethical conduct |
| Topic 5: Regulation of Broker-Dealers | 12% | - Broker-dealer regulatory requirements - Federal and state registration standards |
| Topic 6: Regulation of Investment Advisers | 5% | - Federal vs state adviser regulation - Investment adviser registration rules |
| Topic 7: Communication with Customers and Prospects | 20% | - Disclosure requirements - Advertising and correspondence rules |
| Topic 8: Regulation of Investment Adviser Representatives | 5% | - IAR registration and obligations - Recordkeeping and contract standards |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
A broker-dealer is required to keep his records for how long?
- A. broker-dealer is required to keep his records for as long as he is registered in the state.
- B. at least seven years
- C. at least three years
- D. at least five years
Correct Answer: C 🗳️
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For how long after the effective date is a security's registration valid?
- A. three months
- B. one year
- C. two years
- D. six months
Correct Answer: B 🗳️
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Under the Uniform Securities Act, which of the following does not need to be included when filing to register a security issue with the state?
- A. a copy of the firm's articles of incorporation and bylaws, or the equivalent
- B. a copy of any indenture applying to the security being registered
- C. copies of the underwriter agreements
- D. All of the above documents must be included when filing to register a security with the state.
Correct Answer: D 🗳️
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When selling shares of an investment company to a client, an agent must provide the client with
I. the fund's prospectus, which provides information on any loads or other fees as well as historical return information.
II. information about any breakpoints if it is a load fund along with an explanation of a letter of intent III. information regarding the investment adviser used by the fund IV. an explanation of the various loads and fees outlined in the fund's prospectus
- A. I, II, and IV only
- B. I, II, and III only
- C. I and II only
- D. I, II, III, and IV
Correct Answer: A 🗳️
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Which of the following statements regarding an investment adviser representative who has an office in the state is true?
- A. If the investment adviser is registered with the SEC, then neither the investment adviser nor any of its affiliated investment adviser representative needs to be registered with the state.
- B. Regardless of whether the investment adviser is registered with the SEC or is registered with the state, all investment adviser representatives of the firm must be registered with the state if they have offices in the state.
- C. If an investment adviser representative is registered with the SEC, he or she need not obtain state registration, regardless of whether the investment adviser representative has an office in the state.
- D. If the investment adviser that the investment adviser representative is affiliated with is itself registered with the state, then the investment adviser representative does not need to apply for a separate registration, regardless of whether the investment adviser representative has an office in the state.
Correct Answer: B 🗳️
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