Free Series 63 Exam Prep
Uniform Securities Agent State Law Examination
Prepare for the Series 63 exam without spending hundreds on expensive prep courses. Free study guides, practice questions, flashcards, and related exam resources.
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Pass a Representative Exam
Most states also require FINRA exams such as the SIE and Series 6 or 7 for agent registration. NASAA lists no prerequisite, so the Series 63 can be taken before, with or after them.
Registration of PersonsYou are here
Definitions, registration, exclusions and post-registration rules for investment advisers (5%), investment adviser representatives (5%), broker-dealers (12%) and agents (13%): 35% of the exam.
Communication & Ethical Practices
Customer communications (20%) and ethical practices and obligations (25%): disclosures, customer agreements, advertising, compensation, custody, discretion and prohibited conduct, 45% of the exam.
Securities, Remedies & Final Review
Cover securities and issuers (9%) and remedies and administrative provisions (11%), then take timed practice exams. Know which actions belong to the state Administrator rather than the SEC.
Can You Take the Series 63 Exam?
Check if you meet the basic eligibility requirements
- •Usually taken alongside Series 6 or Series 7 (not a standalone license)
- •No firm sponsorship is needed to take the exam (NASAA)
- •Required for state registration as a securities agent in most states
- •120-day enrollment window to schedule and take the exam
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What You'll Study
6 chapters covering the exam topics in this guide
Series 63 Exam Details
Uniform Securities Agent State Law Examination
Administered by NASAA
Exam Content Breakdown
Based on the official NASAA content outline
Definition of an investment adviser, including state-registered and federal covered advisers; activities requiring registration and exclusions
Definition of an investment adviser representative; activities requiring registration and exclusions
Definition, registration and post-registration requirements, exclusions, and supervision of agents
Definition of an agent, registration and post-registration, exclusions, and uniform forms
Definitions, state registration, exemptions, and state enforcement and antifraud authority
Administrator authority, administrative actions, and other penalties and liabilities
Product disclosures, registration representations, performance guarantees, customer agreements, correspondence, advertising and social media
Compensation, custody, discretion and trading authority, standard of care, and prohibited conduct such as excessive trading, loans, selling away and exploitation of vulnerable adults
What's Included
6 Chapters
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What's Next After the Series 63?
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