FINRA Series 63: Uniform Securities Agent State Law Examination Prep

The Series 63 Exam is required by the North American Securities Administrators Association (NASAA) and administered by FINRA. It qualifies candidates for state registration as securities agents based on knowledge and understanding of state securities laws and regulations.

Number of Questions: 60 scored questions (plus 5 ungraded experimental questions).
Exam Structure: 1 session covering all topics. All questions are multiple choice.
Prerequisites: None
Time to Complete: 75 minutes
Passing Score: 72%; 43 correct
Recommended Study Time: 20 - 25 hours


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Textbook Chapter Description Number of Questions
1 Regulation of Persons (Broker-Dealers, Agents, Investment Advisers, and Investment Adviser Representatives) 24 (40%)
2 Regulation of Securities and Issuers 6 (10%)
3 Remedies and Administrative Provisions 6 (10%)
4 Ethical Practices and Fiduciary Obligations 24 (40%)
Total 60

The passing score for the Series 63 examination is 72%.

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