Series 63 Exam

Series 63 Exam Prep

Uniform Securities Agent Examination Examination Prep Course



Series 63 Uniform Securities Agent Examination
Online Exam Prep Course

This exam is administered by the Financial Industry Regulatory Authority (FINRA). Upon successful completion of the Series 63, an individual will have the qualifications needed to conduct securities business in various states.

The Series 63 online exam prep course provides you with everything that you need to pass the Series 63 Exam. It is presented in an interactive online format and available within are supplementary materials, including downloadable PDFs of the actual course materials, that have been added to enhance your learning experience. The Series 63 Online course contains all of the same materials and questions available in the Series 63 Textbook and Exam Prep software package but for your convenience everything has been made available in our interactive online format.

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Series 63 Uniform Securities Agent Examination Textbook

(Pub. 2007, 200+ pages)

The Series 63 Textbook provides you with all the information that you need to pass the Series 63 Exam. It will be shipped upon purchase in textbook format within 5 – 7 business days. All shipping charges are included in the course pricing.

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Series 63 Uniform Securities Agent Examination
Exam Prep Software

Over 400 Questions! (Software Never Expires)

The Series 63 Exam Prep Software contains a test bank of over 400 multiple choice questions. These questions have been prepared from the Series 6 course material and are similar to the questions given during the actual Series 6 Exam. Upon purchase the Series 6 Exam Prep Software will be sent immediately to the email address given during registration.

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Exam Info

Exam Info

Time Limit: 1 hour and 15 minutes
Number of Questions: 65 questions. 5 of the 65 questions do not count towards your grade as they are pre-test questions for future examinations. Note that the exam does not indicate which questions these are.
Passing Score: 70%
Format: Multiple Choice
Enrollment Fee: $82 US. Note that this is the examination enrollment fee ONLY – other fees may also apply. Please visit the FINRA Registration/Exam Fee Schedule for more information.
Pre-requisites: There are no prerequisites for registration. If registering as an individual, you must complete Form U-10 online or submit the PDF Version.
Corequisites: N/A
Exam Date(s): Any weekday
Exam Locations: Find your U.S. or international exam center
Official Exam Website:


Course Description

The Uniform Securities Agent State Law Examination was developed by the North American Securities Administrators Association, Inc. (“NASAA”) in cooperation with representatives of the securities industry and industry associations. The examination, called the Series 63 exam, is designed to qualify candidates as securities agents. The examination entities candidates to sell securities and give investment advice in those states that require Series 63 registration.

The examination covers the principles of state securities regulation reflected in the Uniform Securities Act (with the amendments adopted by NASAA and rules prohibiting dishonest and unethical business practices). The examination is intended to provide a basis for state securities administrators to determine an applicant’s knowledge and understanding of state law and regulations. This course will give you an understanding of the scope of the Federal Securities Laws, what fraudulent activities are and the provisions for violations.

Candidates should educate themselves about the Uniform Securities Act, as well as Statements of Policy and Model Rules adopted by NASAA, in preparation for the Series 63 exam. The Series 63 test covers topics including: State Registration Laws and Procedure, Penalties and Suspension, Lawful Practices, Definition of terms, Administrator Rules, Fraudulent Practices and Regulatory Oversights.

In addition, this course features a myriad of practice quizzes by lesson to sharpen test-taking skills, as well as feedback rationale for each question that clarifies and improves retention. The course also offers unlimited number of practice finals that simulate the actual FINRA exam to help ensure exam readiness. Study emphasis should be placed on the quizzes and final exams: successful completion of the quizzes will be benchmarks indicating your progress in preparing for the license exam.

Learning Objectives

  • Learn the scope of the Uniform Securities Laws
  • How does one register for securities and their denial, suspension and revocation
  • Learn about the registration of persons in the securities industry
  • Which practices are prohibited and considered fraudulent
  • Understand the provisions for violations

Special Packages


Series 63 Textbook and Exam Prep Software Package

The Series 63 Textbook and Exam Prep Software package is a combination of the Series 63 Textbook and Series 63 Exam Prep Software. If you choose to buy these as a package you will save yourself $20.

Other Training Areas Contact Us

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Lakeway, TX 78734 USA

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1-888-742-6518 : fax