Uniform Securities Agent State Law Examination: Series63 Exam
"Uniform Securities Agent State Law Examination", also known as Series63 exam, is a FINRA Certification. With the complete collection of questions and answers, ExamcollectionPass has assembled to take you through 251 Q&As to your Series63 Exam preparation. In the Series63 exam resources, you will cover every field and category in Uniform Securities State Law Certification helping to ready you for your successful FINRA Certification.
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- Exam Code: Series63
- Exam Name: Uniform Securities Agent State Law Examination
- Certification Provider: FINRA
- Corresponding Certification: Uniform Securities State Law
- Updated: Oct 13, 2026
- No. of Questions: 251 Questions & Answers with Testing Engine
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FINRA Series63 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Regulations of Investment Advisers and Representatives | 15% | - Registration and exclusions - Fiduciary duties and disclosure requirements - Advertising and recordkeeping rules |
| Topic 2: Regulations of Agents and Broker-Dealers | 25% | - Recordkeeping and reporting obligations - Supervision and compliance responsibilities - Registration requirements and exemptions |
| Topic 3: State Securities Acts and Related Rules & Regulations | 40% | - Registration of securities and exemptions - Regulation of broker-dealers and agents - Regulation of investment advisers and representatives - Definitions and jurisdiction |
| Topic 4: 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:
The settlement date refers to
- A. the date the order to purchase or sell a security is actually executed. This may differ from the date that the order is sent to the market in the cases of limit or stop orders.
- B. the latest date on which broker-dealers can file their quarterly financial statements with the Administrator of the state.
- C. the date the buyer must pay for the securities purchased.
- D. the date the order to purchase or sell the security is sent to the market.
Correct Answer: C 🗳️
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Blue Sky Laws are designed to:
- A. favor investment in companies that engage in environmentally friendly practices.
- B. enhance the tourism industry within a state.
- C. protect investors from fraud in their securities market transactions.
- D. protect agents, broker-dealers, and investment advisers and their representatives from spurious allegations of fraudulent activity.
Correct Answer: C 🗳️
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Ari Gaunt is employed by a small state-registered broker-dealer and has recently received notification that his application to be a registered agent of the state has been accepted. Now that he is licensed to execute transactions for the firm's clients, Ari has a batch of business cards printed up, with a picture of himself on the right-hand side of the card. Underneath the picture is the caption, "State-Approved Agent." Will Ari be violating any securities laws if he distributes these business cards?
- A. No. However, he may be violating company policy of the broker-dealer he works for by designing his own cards.
- B. Yes. It is a violation of a securities law to suggest that he has been approved by the state Administrator.
- C. Yes. Agents are not permitted to include a picture of themselves on their business cards.
- D. No. His registration with the Administrator of the state has been accepted, so he is entitled to call himself a "State-Approved Agent."
Correct Answer: B 🗳️
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Which of the following would not fall under the classification of "institutional investor"?
- A. Franklin Templeton Mutual Funds
- B. Chase Bank
- C. Neuring Investment Advisers
- D. Prudential Insurance
Correct Answer: C 🗳️
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If a person has had its license revoked by the Administrator of the state and has appealed the decision to a court of law, that person
- A. Both B and C are true statements.
- B. must notify the Administrator of the state that it has appealed the decision.
- C. is considered to have a revoked license until the courts rule otherwise.
- D. can continue business as usual pending the resolution of the appeal.
Correct Answer: A 🗳️
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