FINRA Uniform Securities Agent State Law Examination : Series63 Exam

Exam Code: Series63
Exam Name: Uniform Securities Agent State Law Examination
Updated: Sep 09, 2026
Q & A: 251 Questions and Answers

About FINRA Uniform Securities Agent State Law Examination : Series63 Exam Questions

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FINRA Series63 Exam Syllabus Topics:

Section	Weight	Objectives
State Securities Acts and Related Rules & Regulations	40%	- Regulation of broker-dealers and agents - Definitions and jurisdiction - Regulation of investment advisers and representatives - Registration of securities and exemptions
Regulations of Agents and Broker-Dealers	25%	- Registration requirements and exemptions - Recordkeeping and reporting obligations - Supervision and compliance responsibilities
Regulations of Investment Advisers and Representatives	15%	- Advertising and recordkeeping rules - Fiduciary duties and disclosure requirements - Registration and exclusions
Prohibited Practices and Ethical Obligations	20%	- Disclosure and fair dealing - Fraudulent and unethical business conduct - Administrative remedies and enforcement

FINRA Uniform Securities Agent State Law Examination Sample Questions:

Question #1

Which of the following does not describe a prohibited activity by investment advisers and their representatives, according to NASAA Model Rules?

A. The agreement that Simon LaGree has his clients sign indicates that LaGree uses SecureMoney Broker-Dealers in executing trades for his clients and that, in return, LaGree receives software from the broker-dealer that allows LaGree to perform some fundamental and technical analysis.
B. A new client comes to Simon LaGree for investment advice. The client has $25,000 to invest. Simon tells the client that it will cost the client $5,000 to have a customized financial plan developed for him, but after that the client needs to pay only 5% of the total value of the assets under management each quarter.
C. All of the above describe prohibited practices.
D. A 72-year-old retired social worker comes to Simon LaGree for investment advice. She has $50,000 to invest. Simon recommends she invest half of it in an international growth mutual fund and half in a variable annuity.

Answer: A