Download FINRA : Series63 Questions & Answers as PDF & Test Software
Updated: Aug 27, 2026
No. of Questions: 251 Questions & Answers with Testing Engine
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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 |
| Related Certifications: | Series 66 SIE (Securities Industry Essentials) Series 7 Series 6 |
| Exam Duration: | 75 minutes |
| Available Languages: | English |
| Real Exam Qty: | 60 scored + 5 unscored pretest |
| Exam Format: | Multiple Choice |
| Exam Price: | USD 147 |
| Certificate Validity Period: | Valid while registered; score generally valid for ~2 years if not employed |
| Passing Score: | 43 out of 60 (72%) |
| 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 |
|---|---|---|
| Regulation of Broker-Dealer Agents | 13% | - Agent registration requirements - Associated person regulations |
| Regulation of Broker-Dealers | 12% | - Broker-dealer regulatory requirements - Federal and state registration standards |
| Ethical Practices and Obligations | 25% | - Conflicts of interest and fiduciary duties - Fraudulent and unethical conduct |
| Regulation of Investment Advisers | 5% | - Investment adviser registration rules - Federal vs state adviser regulation |
| Regulations of Securities and Issuers | 9% | - Securities registration and exemptions - Issuer regulation principles |
| Regulation of Investment Adviser Representatives | 5% | - IAR registration and obligations - Recordkeeping and contract standards |
| Remedies and Administrative Provisions | 9% | - State Administrator authority - Enforcement and penalties |
| Communication with Customers and Prospects | 20% | - Disclosure requirements - Advertising and correspondence rules |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
Question 1
To continue operating as an agent, broker-dealer, investment adviser, or investment adviser representative next year, you must pay the filing fee to renew your license with the state Administrator by
A. January 15th of the new year.
B. December 31st of this year.
C. January 30th of the new year.
D. the anniversary date of the original issue date on your license.
Question 2
Which of the following is not considered to be a security, as defined by the Uniform Securities Act (USA)?
A. a put option
B. a certificate of deposit (CD)
C. an annuity contract wherein an insurance company promises to pay a fixed sum, either in a lump amount or through periodic payments.
D. a debenture
Question 3
A broker-dealer cannot legally be
A. an individual.
B. a sole-proprietorship.
C. a partnership.
D. A broker-dealer can be any of the above.
Question 4
Elizabeth is the owner of Lizbeth Investment Advisers, a small, state-registered investment advisory firm. She has decided that her firm needs a niche and has learned that a consulting group is coming to the area and offering a 3-day seminar on asset allocation for senior citizens offered by Advantage for Retirement Persons (ARP). The seminar will cost $1,000 per individual, but after attending the seminar, each attendee will receive a certificate verifying their involvement in the program. Elizabeth decides this is the niche she has been looking for and signs up herself and her three investment adviser representatives for the program. After attending the seminar and receiving their certificates, Elizabeth and her team can
A. do none of the above.
B. represent themselves as certified senior citizen investment advisers.
C. indicate that they are certified by the ARP program since money was paid for their attendance.
D. have the words "Senior-Citizen Investment Specialists" printed on their business cards.
Question 5
Your next-door neighbor's brother works for a large pharmaceutical company and confided in her that one of the company's chemists has just discovered a compound that will cure baldness and that the firm plans to make the discovery public later in the week. Your next-door neighbor passes this information on to you over a cup of coffee the next morning. You immediately call your broker and place an order to buy shares of the company's stock.
Has any illegal insider trading taken place?
A. Yes. The agent who executes your purchase order has engaged in illegal insider trading.
B. No. You are in no way related to your next-door neighbor's brother, and she could have been lying.
C. Yes. You, your neighbor, and her brother are all guilty of illegal insider trading.
D. Yes. You are guilty of illegal insider trading because you traded on information that had not yet been made publicly available.
Solutions:
| Question 1 Answer: B | Question 2 Answer: C | Question 3 Answer: D | Question 4 Answer: A | Question 5 Answer: D |
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