Try and practice the latest FINRA : Series63 real questions & answers
Updated: Sep 09, 2026
No. of Questions: 251 Questions & Answers with Testing Engine
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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 65 SIE Series 7 Series 66 Series 6 |
| Exam Duration: | 75 minutes |
| Real Exam Qty: | 65 (60 scored, 5 unscored) |
| Passing Score: | 43/60 (72%) |
| Available Languages: | English |
| Certificate Validity Period: | Valid while registered and employed; no fixed expiration if active |
| Exam Format: | Computer-Based, Closed Book, Multiple Choice |
| Exam Price: | $147 USD |
| 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: Regulations of Agents and Broker-Dealers | 25% | - Registration requirements and exemptions - Supervision and compliance responsibilities - Recordkeeping and reporting obligations |
| Topic 2: Prohibited Practices and Ethical Obligations | 20% | - Disclosure and fair dealing - Administrative remedies and enforcement - Fraudulent and unethical business conduct |
| Topic 3: Regulations of Investment Advisers and Representatives | 15% | - Registration and exclusions - Advertising and recordkeeping rules - Fiduciary duties and disclosure requirements |
| Topic 4: State Securities Acts and Related Rules & Regulations | 40% | - Regulation of broker-dealers and agents - Registration of securities and exemptions - Definitions and jurisdiction - Regulation of investment advisers and representatives |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
Once you have passed the Series 63 examination, which entity must then approve your application to sell securities?
- A. NASAA
- B. SEC
- C. the state administrator
- D. FINRA
Correct Answer: C 🗳️
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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. No. You are in no way related to your next-door neighbor's brother, and she could have been lying.
- B. Yes. The agent who executes your purchase order has engaged in illegal insider trading.
- C. Yes. You are guilty of illegal insider trading because you traded on information that had not yet been made publicly available.
- D. Yes. You, your neighbor, and her brother are all guilty of illegal insider trading.
Correct Answer: C 🗳️
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Ken Con is an agent with Blue Sky Broker-Dealers. He gets up early each morning so that he can study any late-breaking news that may affect the markets and figure out ways to incorporate this news into conversations with select clients in order to pressure them to restructure their portfolios by selling holdings they have in one particular industry to invest the money in another particular industry.
Ken has been very successful with this strategy and executes more trades for his clients than any other agent with the firm, but is he in danger of losing his license?
- A. No. Ken is just a successful sales person who is working harder than the other agents in the firm.
- B. Yes. Ken is guilty of the prohibited practice of "tailgating."
- C. It depends. If his clients have lost money, Ken may lose his license; but if a review indicates that his clients' accounts earn profits, then his license is safe.
- D. Yes. Ken is engaging in churning, a prohibited practice and can have his license revoked or suspended.
Correct Answer: D 🗳️
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To say a security is "exempt," means that
I. it is exempt from the state's anti-fraud laws.
II. it is exempt from state registration requirements.
III. any transaction involving it is considered to be an exempt transaction.
- A. I, II, and III
- B. II and III only
- C. I and II only
- D. II only
Correct Answer: D 🗳️
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For how long after the effective date is a security's registration valid?
- A. six months
- B. one year
- C. three months
- D. two years
Correct Answer: B 🗳️
Explanation: Only visible for Actual4Cert members. You can sign-up / login (it's free).
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