Series 63
Uniform Securities Agent State Law Examination
The Series 63 (Uniform Securities Agent State Law Examination) is the NASAA exam most states require of broker-dealer agents, in addition to FINRA exams such as the SIE and Series 7. It tests the Uniform Securities Act, dishonest-and-unethical practices, and state-level regulation of securities professionals.
EXAM AT A GLANCE
Format
65 multiple-choice questions (60 scored + 5 unidentified pretest)
Testing time
75
minutes
Sections
8
Delivery
Prometric test center (FINRA-administered)
Passing score
43
Cost
$147 USD
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What the exam covers
Regulation of Broker-Dealers
12%
Regulation of Broker-Dealer Agents
13%
Ethical Practices and Obligations
25%
Communication with Customers and Prospects
20%
Regulation of Securities and Issuers
9%
Regulation of Investment Advisers
5%
Regulation of Investment Adviser Representatives
5%
Remedies and Administrative Provisions
11%
About the Series 63 exam
FINRA administers the exam at Prometric. You typically need firm sponsorship via Form U4 to sit it as part of agent registration.
Who it’s for
Broker-dealer agents registering to solicit securities at the state level.
- Passing score
- 43 of 60 scored questions correct
- Validity
- Tied to registration; NASAA's Exam Validity Extension Program (EVEP) may extend exam validity up to five years in adopting states if you complete required CE
- Prerequisites
- Typically sponsorship by a broker-dealer (Form U4); confirm your state's agent-exam combination (often SIE + Series 7 + Series 63)
Official exam page· Details verified August 2026
Exam details can change. Always confirm current requirements, fees, and exam policies with the certification provider before registering.
How to prepare
01
Confirm your state requires Series 63 (most do for BD agents).
02
Study the Uniform Securities Act and NASAA statements of policy on unethical practices.
03
Prioritize ethics and customer communications — together 45% of the exam.
04
Use the official NASAA Series 63 study guide / content outline.
05
Sit timed 75-minute practice tests targeting at least 43/60.
FAQ
Is Series 63 enough to sell securities?
No. It is the state-law exam. You still need the FINRA registration exams your function requires (typically SIE and Series 7 for a general securities representative) and a sponsoring firm.
Series 63 or Series 66?
Series 66 combines state agent and investment-adviser-representative law and is used when you also hold the SIE and Series 7. Series 63 is the agent-only state exam.
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