Series 63


Series 63 – Uniform Securities State Law Examination

The Series 63 exam is required by most states for individuals to register as securities agents (registered representatives) within those states. The exam is developed and maintained by the North American Securities Administrators Association (NASAA) and administered by FINRA. It tests state securities regulations.

Enroll

Series 63 Exam Preparation training can help you get your career started.

Enroll Now

Series 63 Exam Details

Exam Format: 60 multiple-choice questions
Exam Duration: 1 hour, 15 minutes (75 minutes)
Passing Score: 72% (43 correct of 60)

Broker-dealer Sponsorship: not required

Series 63 Exam Outline

TOPIC DESCRIPTION Percentage of Exam No. Questions
Regulation of Investment Advisers Including State-Registered and Federal Covered Advisers 5% 3
Regulation of Investment Adviser Representatives 5% 3
Regulation of Agents of Broker-Dealers 15% 9
Regulation of Securities and Issuers 5% 3
Remedies and Administrative Provisions 10% 6
Communication with Customers and Prospects 20% 12
Ethical Practices and Obligations 25% 15
TOTAL 100% 60

Series 63 Study Materials

Modules: 5 chapters delivered in mobile-friendly, online and printable .pdf formats
Module Quizzes: Five 20-question, module quizzes to gauge initial comprehension
Live Tutorials: Live, instructor led tutorials offered on a rotating calendar basis
OnDemand Tutorials: 5 mobile friendly OnDemand, recorded tutorials available 24/7
Bonus Tutorials:

  • Introduction to the State Exams
  • New Exam Topics
  • Test taking tips to help you beat the test

Final Exams: Seven 60-question, weighted finals that simulate the Series 63 exam
Green Light Status Indicator: Know with confidence your level of preparedness
Remediation:

  • Suggested Study Plan: System-generated study plan based on incorrect answers on initial assessments. Includes a custom suggested study plan assessment containing actual missed questions from final exams.
  • Custom Assessments: Create unlimited, 20 or 50-question, custom exams from any number of modules. Feature unlocks when final exams are completed.

Instructor Access: Unlimited email/phone access to our expert NRS Exam Prep instructors

Price: $105

Enroll Now

No Pass/No Pay

Candidates who correctly complete our program and achieve our designated “Green Light” average score on their practice final exams go on to pass their actual FINRA/NASAA exams. We are so confident that we offer candidates a “NO-PASS, NO-PAY” guarantee. We will refund full tuition to any “Green Light” student who does not pass their actual FINRA/NASAA exam.*

*The NRS Exclusive NO-PASS, NO-PAY Guarantee: To qualify for a refund, you must complete all course materials: Read all modules, attend all tutorials, take all quizzes and tests, and achieve an average score on your first attempt final exams of 3% over the passing score requirement for your FINRA/NASSA exam. Refund applies to online course fees only.

Test Center

Prometric is the sole vendor delivering all FINRA-administered exams. Prometric facilities are located in most cities. To schedule an exam, contact Prometric at

If your local test center does not have favorable availability, consider testing in a neighboring city. Ask about parking when you schedule your exam.
Candidates must present valid, current, government issued photo identification. This includes

  • Passport
  • Driver’s License
  • Military ID

Student IDs are NOT accepted by Prometric.