FINRA Series-63 License Exam Test Questions
Serie-63: Uniform Securities Agent State Law Exam tests an individual’s knowledge and understanding of working as a uniform securities agent state law representative. The Series 63 exam filters the suitable candidates by testing their possessive knowledge and skills required to perform as a critical figure of the securities representatives at the North American Securities Administrators Association (NASAA) who developed the FINRA Series 63 and the others which are administered by the Financial Industry Regulatory Authority (FINRA). Hopeful candidates must pass Series 63 to achieve the Series 63 license.
About the Series 63 Exam
The FINRA Series 63 has a total of 60 questions to answer having a multiple-choice format. The time duration for this exam is 1 hour and 15 minutes. The passing score is set at a minimum of 43 correct answers out of a total of 60. There are no requisites to take the Series 63 exam. The Series 63 exam cost is $147 (USD) per attempt. The exam outline is mentioned below with the number of items mentioned to appear in the final exam:
- Regulation of Investment Advisers including State-Registered and Federal Covered Advisers – 5%
- Regulation of Investment Adviser Representatives – 5%
- Regulation of Broker-Dealers – 15%
- Regulation of Agents of Broker-Dealers – 15%
- Regulation of Securities and Issuers – 5%
- Remedies and Administrative Provisions – 10%
- Communication with Customers and Prospects – 20%
- Ethical Practices and Obligations – 25%
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