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Series 63: Uniform Securities Agent State Law
The Series 63 exam - the Uniform Securities Agent State Law - developed by NASAA and administered for NASAA by FINRA, evaluates an entry-level registered representative's proficiency in understanding the principles of state securities regulations reflected in the Uniform Securities Act with NASAA rule amendments prohibiting dishonest and unethical business practices. The exam provides state securities administrators a basis to evaluate an applicant's knowledge and understanding of state law and regulations. This exam is comprised of 60 scored questions and 5 unscored "pretest" questions. Applicants have one-hour and 15-minutes to complete the exam. The passing score is 72%. The Series 63 does not have any prerequisites and can be taken without being sponsored by a FINRA member firm. However, to transact securities business, an individual must also take and pass the Series 6 or Series 7 and be associated with and sponsored by a FINRA member firm.
Audience: The Series 63 exam - the Uniform Securities Agent State Law - is a state law exam for a securities agent of a broker/dealer. The exam is for professionals who effect purchases and/or sales of all securities products, including corporate securities, municipal securities, investment company securities, variable annuities, direct participation programs, options, and government securities. Most states (but not all) require this exam.
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- 5 Learning Modules
- 5 Interactive Online Quizzes
- 7 Video Tutorials
- 7 Sample Final Exams
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