FINRA Series63 Exam : Uniform Securities Agent State Law Examination

Exam Code: Series63
Exam Name: Uniform Securities Agent State Law Examination
Updated: Sep 15, 2026
Q & A: 251 Questions and Answers

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FINRA Series63 Exam Syllabus Topics:

Section	Weight	Objectives
Topic 1: Remedies and Administrative Provisions	9%	- State Administrator authority - Enforcement and penalties
Topic 2: Communication with Customers and Prospects	20%	- Disclosure requirements - Advertising and correspondence rules
Topic 3: Regulation of Broker-Dealer Agents	13%	- Associated person regulations - Agent registration requirements
Topic 4: Ethical Practices and Obligations	25%	- Fraudulent and unethical conduct - Conflicts of interest and fiduciary duties
Topic 5: Regulation of Broker-Dealers	12%	- Broker-dealer regulatory requirements - Federal and state registration standards
Topic 6: Regulations of Securities and Issuers	9%	- Securities registration and exemptions - Issuer regulation principles
Topic 7: Regulation of Investment Adviser Representatives	5%	- Recordkeeping and contract standards - IAR registration and obligations
Topic 8: Regulation of Investment Advisers	5%	- Investment adviser registration rules - Federal vs state adviser regulation

FINRA Uniform Securities Agent State Law Examination Sample Questions:

Question #1

When a client has purchased securities on margin, the broker-dealer

A. Both B and C are correct statements.
B. may require that the client leave all his securities, even those not purchased on margin, in street name.
C. may use any securities that the client purchased on margin as collateral for a loan from a bank upon receiving a written agreement signed by the client.
D. must keep the securities that the client paid cash for separate from the securities that the client purchased on margin.

Reveal Solution Discussion 0

Correct Answer: A 🗳️