Series 63 License Practice Test
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Get exam-style questions, detailed explanations, and realistic timing to master the latest Financial Industry Regulatory Authority (FINRA). Prepare Series 63 License practice test then walk into your Finance, Insurance and Real Est exam with confidence.
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Train the way you'll be tested. With the most clinically accurate, expertly written question bank, you’ll build the speed, accuracy, and confidence needed to pass the Series 63 License on your first attempt.
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Frequently Asked Questions
What is the Series 63 exam?
The Series 63 exam is the Uniform Securities Agent State Law Examination. It tests knowledge of state securities laws and regulations based on the Uniform Securities Act. This exam qualifies candidates as securities agents and covers rules against dishonest business practices.
Why do I need to take the Series 63 exam?
Most states require the Series 63 exam for individuals who hold a Series 6 or Series 7 license and sell securities. It ensures understanding of state-specific rules on securities registration, ethical conduct, and investor protection, beyond federal requirements.
What does the Series 63 license allow me to do?
The Series 63 license qualifies a person to act as a securities agent in a state. It permits soliciting orders for securities while complying with state laws on registration, disclosure, and ethical standards for client interactions.
What topics are covered on the Series 63 exam?
The exam covers state securities acts, rules on registration of securities and agents, ethical business practices, and prohibitions against fraud. It includes fiduciary duties, client communication, and administrative procedures under the Uniform Securities Act.
How do I register for the Series 63 exam?
To register, a sponsoring firm files Form U4 with FINRA, or individuals enroll directly on FINRA's website and pay the fee. This opens a 120 day window to schedule the exam at a testing center.
How should I study for the Series 63 exam?
Study by reviewing the Uniform Securities Act, ethical rules, and practice tests. Dedicate 40 to 60 hours, use textbooks and online quizzes, and focus on weak areas through repeated testing.
What are the best study materials for the Series 63?
Recommended materials include textbooks from Kaplan, along with Prephow Series 63 practice questions and flashcards. These resources explain state laws clearly and provide questions similar
What ethical practices are tested on the Series 63?
The exam tests fiduciary duties, prohibitions on dishonest conduct, fair client communication, and rules against fraud. It covers ethical standards in securities transactions under the Uniform Securities Act and NASAA rules.