FINRA Uniform Securities Agent State Law Examination : Series_63 exam

Exam Code: Series_63
Exam Name: Uniform Securities Agent State Law Examination
Updated: Sep 11, 2026
Q & A: 255 Questions and Answers

Series_63 Free Demo download

About FINRA Uniform Securities Agent State Law Examination : Series_63 Exam

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FINRA Series_63 Exam Syllabus Topics:

Section	Weight	Objectives
Regulation of Broker-Dealers and Agents		- Agent conduct and obligations 1. Compensation and transaction rules 2. Customer communications - Broker-Dealer definitions and requirements 1. BD registration criteria 2. Agent registration criteria
Regulation of Investment Advisers and Representatives		- Investment Adviser registration 1. State vs federal covered advisers 2. De minimis exemption - Investment Adviser Representatives 1. IAR registration requirements 2. Post-registration obligations
State Securities Acts and Related Rules	60%	- Uniform Securities Act principles 1. State jurisdiction and definitions 2. Registration of securities and exemptions - Administrator Powers 1. Rulemaking and investigations 2. Cease and desist orders and enforcement
Ethical Practices and Fiduciary Obligations	40%	- Ethics in securities business 1. Fiduciary duties and conflicts of interest 2. Anti-fraud provisions - Client-related rules 1. Disclosure and suitability principles 2. Client funds and securities handling

FINRA Uniform Securities Agent State Law Examination Sample Questions:

Question #1

D. Vious and Associates is a small broker-dealer trying to generate more business. To this end, the firm
had a professional four-color brochure printed that provides the years of industry experience of its
management along with other information. The firm's founder, Ms. D. Vious, is listed as having over 30
years of experience in the industry. Ms. D. Vious has worked for broker-dealers for over 30 years, but for
2 0 of those 30 years, she was a secretary. Has D. Vious violated any securities laws?

A. No. Advertising brochures are not securities.
B. No. Ms. D. Vious' years of experience is not a material fact that would affect an investor's investment decision.
C. Yes. The broker-dealer is making a misleading statement in an advertising brochure in order to convince investors to do business with the firm.
D. No. Technically, Ms. D. Vious does have over 30 years of experience in the industry, even though it was not in the capacity of an agent or a broker-dealer.

Reveal Solution Discussion 0

Correct Answer: C 🗳️