Exam Name: Uniform Securities Agent State Law Examination
Certification Provider: FINRA
Corresponding Certification: FINRA Certification
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Uniform Securities Agent State Law Examination: Series_63 Exam Premium File as PDF & Test Engine
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Last Updated: Aug 15, 2026
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FINRA Series_63 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Regulations of Investment Advisers | 5% | - Recordkeeping and reporting rules - Registration and exemptions - Definition under Uniform Securities Act |
| Topic 2: Regulations of Securities and Issuers | 10% | - Definition of securities - Registration methods: coordination, qualification, filing - Disclosure and anti-fraud requirements - Exempt securities and exempt transactions |
| Topic 3: Regulations of Broker-Dealers | 12% | - Definition and legal status - Registration and post-registration requirements - Supervision and compliance obligations - Exclusions and exemptions from registration |
| Topic 4: Ethical Practices and Fiduciary Obligations | 40% | - Advertising and communication rules - Conflicts of interest and compensation - Prohibited business practices - Anti-fraud provisions and misrepresentation - Handling of customer funds and securities - Customer suitability and disclosure |
| Topic 5: Administrative Provisions and Remedies | 15% | - Investigations, subpoenas, and orders - Civil and criminal liabilities - Judicial review and appeals - Powers of state securities administrators |
| Topic 6: Regulations of Investment Adviser Representatives | 5% | - Registration and post-registration duties - Exclusions and exemptions - Definition and activities requiring registration |
| Topic 7: Regulations of Agents of Broker-Dealers | 13% | - Registration procedures and Form U4 - Termination and notice requirements - Exemptions from registration - Definition and scope of activities |
FINRA Uniform Securities Agent State Law Examination Sample Questions:
1. Treadwater Bank and Trust is selling a portfolio of municipal bonds it owns to the SafeRisk Insurance
Corporation. Under the Uniform Securities Act (USA), in this transaction Treadwater is defined as a
A) issuer.
B) broker-dealer.
C) none of the above.
D) agent.
2. Which of the following is an example of commingling?
A) All of the above are examples of commingling.
B) In order to generate more commissions for herself Ms. Fox makes trades on some of her client's
accounts and has the trade confirmations sent to a P.O box she owns.
C) Mr. Hawk encourages his clients to leave their securities in "street name" with the broker-dealer for
which Mr. Hawk works.
D) Sly is an agent with a broker-dealer who recently executed a stock purchase for his client and had the
client make the check for the purchase out to Sly for deposit in Sly's broker-dealer account.
3. Alice Wonder called her broker on Tuesday, August 10th, with a market order to buy 10 calls on the stock
of Abbott Laboratories. Under normal conditions, Alice will have to pay for the calls on
A) Wednesday, August 11th.
B) Tuesday, August 10th.
C) Monday, August 16th.
D) Friday, August 13th.
4. To say a security is "exempt," means that
I. it is exempt from the state's anti-fraud laws.
II. it is exempt from state registration requirements.
III. any transaction involving it is considered to be an exempt transaction.
A) II and III only
B) I and II only
C) I, II, and III
D) II only
5. You are a newly licensed agent and are making cold calls to generate business. According to the
Telephone Consumer Protection Act of 1991 (TCPA), you may only place your calls between the hours of
A) 8 a.m. and 9 p.m., based on your prospective customer's time zone.
B) 8 a.m. and 7 p.m., based on the Pacific Time Zone.
C) 8 a.m. and 7 p.m., based on your prospective customer's time zone.
D) 8 a.m. and 9 p.m., based on your time zone.
Solutions:
| Question # 1 Answer: C | Question # 2 Answer: D | Question # 3 Answer: A | Question # 4 Answer: D | Question # 5 Answer: A |
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