Try FINRA : Series63 valid & accurate questions and answers
Updated: Sep 01, 2026
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FINRA Series63 Exam Overview:
| Certification Vendor: | NASAA / FINRA |
|---|---|
| Exam Name: | Uniform Securities Agent State Law Examination |
| Exam Number: | Series 63 |
| Related Certifications: | Series 6 Series 66 Series 65 SIE Series 7 |
| Certificate Validity Period: | Valid while registered and employed; no fixed expiration if active |
| Exam Duration: | 75 minutes |
| Available Languages: | English |
| Exam Price: | $147 USD |
| Passing Score: | 43/60 (72%) |
| Exam Format: | Computer-Based, Multiple Choice, Closed Book |
| Real Exam Qty: | 65 (60 scored, 5 unscored) |
| Recommended Training: | NASAA Study Guide |
| Exam Registration: | FINRA Series 63 Registration NASAA Official Outline |
| Sample Questions: | FINRA Series63 Sample Questions |
| Exam Way: | Computer-based testing at Prometric test centers |
| Pre Condition: | No formal prerequisites; often taken after SIE Exam; sponsorship not required for registration |
| Official Syllabus URL: | https://www.finra.org/registration-exams-ce/qualification-exams/series63 |
FINRA Series63 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Prohibited Practices and Ethical Obligations | 20% | - Fraudulent and unethical business conduct - Disclosure and fair dealing - Administrative remedies and enforcement |
| Topic 2: Regulations of Investment Advisers and Representatives | 15% | - Advertising and recordkeeping rules - Registration and exclusions - Fiduciary duties and disclosure requirements |
| Topic 3: State Securities Acts and Related Rules & Regulations | 40% | - Regulation of investment advisers and representatives - Definitions and jurisdiction - Regulation of broker-dealers and agents - Registration of securities and exemptions |
| Topic 4: Regulations of Agents and Broker-Dealers | 25% | - Supervision and compliance responsibilities - Registration requirements and exemptions - Recordkeeping and reporting obligations |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
Question 1
A broker-dealer is required to keep his records for how long?
A. at least three years
B. broker-dealer is required to keep his records for as long as he is registered in the state.
C. at least five years
D. at least seven years
Question 2
Which of the following scenarios describes activities that are disallowed under the NASAA Model Rules?
I. Broker-dealer Anon observes that a client placed a stop loss order to sell her 1,500 shares of Amazon.com stock for $131 when the stock was selling for $134. Anon sold the stock for $133 when it started to fall during the day and credited the client's account with $131 per share when stock dropped further to $129 a share.
II. Penny is an agent with Broker-dealer Anon. She recently recommended that a client buy a stock that Penny thought would do well. As it turned out, Penny was wrong, and she offers to refund the commission that the client paid her.
III. Broker-dealer Anon is part of the selling group of a hot new IPO. As such, the firm purchases 50% of the shares for its own portfolio and sells the remainder to the public.
A. I and III only
B. I, II, and III
C. I only
D. I and II only
Question 3
No: 167
A "market not held" order is
A. a prohibited activity in which an agent engages in the purchase or sale of securities that are not offered by his broker-dealer.
B. an order to sell securities that the investor owns if the stock decreases by a certain amount from the current price.
C. an order to buy or sell a stock at a specified price, which differs from the current market price.
D. an order in which the client tells the broker to use his own discretion in timing a purchase or sale in an attempt to get a better price.
Question 4
Rich Quick is a broker-dealer registered in the state of Massachusetts. He occasionally trades on abnormalities he observes in bond yield spreads for his own account, short selling a bond that appears to be overpriced based on its yield and buying a bond that is identical in almost every respect except for the price, which is less than that of the other bond. He has been able to earn arbitrage profits 95% of the time when he does this. Rich Quick
A. is skilled if he is able to earn profits 95% of the time using this strategy.
B. is trading on insider information, which is a violation of securities laws.
C. is in violation of securities laws. Arbitrage is a prohibited activity.
D. engaged in a fraudulent activity.
Question 5
In which of the following scenarios is an investment adviser representative required to disclose the fact that someone other than the representative performed the research on which his advice to the client is based?
I. The investment adviser representative recommends the same asset allocation for his client that a buddy of his did after his buddy had done some research for a client with similar characteristics.
II. The investment adviser representative provides a recommendation for his client based on research provided by a broker-dealer that provides the investment adviser with its analysts' recommendations in return for trades that the investment adviser executes using the services of the broker-dealer, as well as a couple of other research sources he finds on the internet.
III. The investment adviser representative submitted his client's information to a data base that provided a recommendation for the asset allocation of the client's investment monies that the adviser deemed was sound and, therefore, recommended it to his client.
A. I and III only
B. II only
C. I only
D. III only
Solutions:
| Question 1 Answer: A | Question 2 Answer: B | Question 3 Answer: D | Question 4 Answer: A | Question 5 Answer: A |
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