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Updated: Oct 09, 2026
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| Certification Vendor: | North American Securities Administrators Association (NASAA) / FINRA |
|---|---|
| Exam Name: | Uniform Securities Agent State Law Examination |
| Exam Number: | Series 63 |
| Real Exam Qty: | 60 scored + 5 unscored pretest |
| Exam Format: | Multiple Choice |
| Passing Score: | 43 out of 60 (72%) |
| Certificate Validity Period: | Valid while registered; score generally valid for ~2 years if not employed |
| Related Certifications: | SIE (Securities Industry Essentials) Series 7 Series 6 Series 66 |
| Exam Duration: | 75 minutes |
| Available Languages: | English |
| Exam Price: | USD 147 |
| Sample Questions: | DOWNLOAD DEMO |
| 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 |
| Section | Weight | Objectives |
|---|---|---|
| Regulation of Investment Advisers | 5% | - Investment adviser registration rules - Federal vs state adviser regulation |
| Regulation of Investment Adviser Representatives | 5% | - Recordkeeping and contract standards - IAR registration and obligations |
| Regulation of Broker-Dealers | 12% | - Federal and state registration standards - Broker-dealer regulatory requirements |
| Regulation of Broker-Dealer Agents | 13% | - Associated person regulations - Agent registration requirements |
| Regulations of Securities and Issuers | 9% | - Issuer regulation principles - Securities registration and exemptions |
| Remedies and Administrative Provisions | 9% | - Enforcement and penalties - State Administrator authority |
| Ethical Practices and Obligations | 25% | - Conflicts of interest and fiduciary duties - Fraudulent and unethical conduct |
| Communication with Customers and Prospects | 20% | - Advertising and correspondence rules - Disclosure requirements |
Administered at Prometric testing centers (computer-based), closed-book with supervised proctor. Register for the FINRA Uniform Securities Agent State Law Examination exam through these official channels:
After booking, iPassleader delivers your practice questions within 1 minute — preparation starts the same day.
iPassleader issues a full refund if you take the FINRA Uniform Securities Agent State Law Examination exam within 60 days of purchase and do not pass. The policy does not apply if the exam is taken within 3 days of purchase, if the exam was never actually taken, or to free materials or expired orders, and the candidate name must match the payer name. Submit a scan of your enrollment slip and the official Score Report PDF within 2 days of the exam; claims are processed within 7 days. Alternatively, exchange for two free exam products of equal value and keep your original update service. Orders arrive by email within 1 minute — contact support if nothing arrives within 2 hours.
The FINRA Uniform Securities Agent State Law Examination exam requires 43 out of 60 (72%) to pass, and registration costs USD 147. A failed attempt means paying the same fee again — a readiness check with the iPassleader engines before booking is the cheaper option.
The official FINRA Uniform Securities Agent State Law Examination outline defines 8 domains. The leading three are Ethical Practices and Obligations (25%), Regulation of Broker-Dealer Agents (13%), and Remedies and Administrative Provisions (9%). The full list is in the topics section above, and iPassleader's 251 practice questions cover each one.
The FINRA Uniform Securities Agent State Law Examination exam contains 60 scored + 5 unscored pretest to complete within 75 minutes. Timed simulation in the iPassleader Desktop Test Engine teaches that rhythm before exam day does.
No formal prerequisites; often taken with SIE and a representative-level exam (e.g., Series 7 or Series 6) for full securities registration. Since requirements change over time, confirm the latest on the official FINRA exam page before scheduling.
Three versions of the same study materials: a printable, expert-prepared PDF with free demo download and instant access; a Desktop Test Engine for Windows that simulates the real exam with two practice modes and works offline; and an Online Test Engine for any browser on Windows, Mac, Android, and iOS with test history and performance review. All 251 practice questions are identical across versions. Every purchase includes 365 days of free updates, a 50% renewal discount afterward, and unlimited computer installations.
The Series63 exam is a FINRA certification exam validating the FINRA Uniform Securities Agent State Law Examination syllabus shown above. It belongs to these credential paths: SIE (Securities Industry Essentials), Series 6, Series 7, Series 66. Earning it in 2026 demonstrates ability in a form employers recognize — and iPassleader prepares candidates with 251 practice questions in PDF, Desktop Test Engine, and Online Test Engine formats.
FINRA recommends these training resources for the FINRA Uniform Securities Agent State Law Examination exam:
Follow the training with steady self-testing — the 251 practice questions from iPassleader help you apply theory and fill any gaps the training leaves.
Which of the following does not need to be included in an investment advisory contract?
Correct Answer: D 🗳️
Explanation: Only visible for iPassleader members. You can sign-up / login (it's free).
Sam Shyster had his day in court-and lost. His license to do business as an investment adviser in the state has been revoked. What legitimate options does Sam have available to him now?
Correct Answer: D 🗳️
Explanation: Only visible for iPassleader members. You can sign-up / login (it's free).
A broker-dealer cannot legally be
Correct Answer: A 🗳️
Explanation: Only visible for iPassleader members. You can sign-up / login (it's free).
The trade confirmation must be received by the customer no later than
Correct Answer: C 🗳️
Explanation: Only visible for iPassleader members. You can sign-up / login (it's free).
A broker-dealer of commodity futures contracts has been profiting by trading for its own account either before or after executing a client's trade on the same commodity, depending on which will be most advantageous.
Under the Uniform Securities Act, the broker-dealer is guilty of
Correct Answer: A 🗳️
Explanation: Only visible for iPassleader members. You can sign-up / login (it's free).
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