FINRA Uniform Securities Agent State Law Examination : Series_63

Exam Code: Series_63
Exam Name: Uniform Securities Agent State Law Examination
Updated: Sep 09, 2026
Q&As: 255 Questions and Answers

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FINRA Series_63 Exam Syllabus Topics:

Section	Weight	Objectives
Administrative Provisions and Remedies	15%	- Civil and criminal liabilities - Powers of state securities administrators - Judicial review and appeals - Investigations, subpoenas, and orders
Ethical Practices and Fiduciary Obligations	40%	- Advertising and communication rules - Anti-fraud provisions and misrepresentation - Prohibited business practices - Handling of customer funds and securities - Customer suitability and disclosure - Conflicts of interest and compensation
Regulations of Securities and Issuers	10%	- Definition of securities - Registration methods: coordination, qualification, filing - Disclosure and anti-fraud requirements - Exempt securities and exempt transactions
Regulations of Broker-Dealers	12%	- Exclusions and exemptions from registration - Definition and legal status - Registration and post-registration requirements - Supervision and compliance obligations
Regulations of Investment Adviser Representatives	5%	- Exclusions and exemptions - Registration and post-registration duties - Definition and activities requiring registration
Regulations of Agents of Broker-Dealers	13%	- Termination and notice requirements - Definition and scope of activities - Registration procedures and Form U4 - Exemptions from registration
Regulations of Investment Advisers	5%	- Registration and exemptions - Definition under Uniform Securities Act - Recordkeeping and reporting rules

FINRA Uniform Securities Agent State Law Examination Sample Questions:

Question #1

Which of the following entities would be required to register with the state as a broker-dealer under the
guidelines of the Uniform Securities Act (USA)?

A. a credit union that operates within the state and provides loans to its members
B. None of the above entities would be required to register with the state as a broker-dealer under the
guidelines of the Uniform Securities Act.
C. an underwriter with no offices in the state that is helping a firm that is incorporated within the state with
the sale of its new bond issue to insurance companies
D. an agent who executes the purchase and sale of stocks and bonds for his clients

Reveal Solution Discussion 0

Correct Answer: B 🗳️