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Finra Series 63 FAQ

Answers to the most common questions about the Series 63 exam.
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How to get your Series 63

Financial professionals typically take the Series 63 as their final exam after completing their SIE Exam and Series 6, 7, or 79 license. However, you can take the Series 63 as your first FINRA exam. Unlike most FINRA exams, you do not need a sponsor to take the Series 63.
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What's covered on the Series 63?

The Series 63 is known as the "state law test", and covers two main areas: State Securities Acts and the related rules and regulations, and ethical practices and fiduciary obligations. You'll learn about the Uniform Securities Act (the "USA") and how this framework of laws and regulations was created for and adopted by the fifty states in the United States. And you'll learn about how the USA-related laws are enforced across the country.
Topic
Test questions
Regulations of Investment Advisers, Including State-Registered and Federal Covered Advisers
3 (5%)
Regulations of Investment Adviser Representatives
3 (5%)
Regulations of Broker-Dealers
7 (12%)
Regulations of Agents of Broker-Dealers
8 (13%)
Regulations of Securities and Issuers
5 (9%)
Remedies and Administrative Provisions
7 (11%)
Communication with Customers and Prospects
12 (20%)
Ethical Practices and Obligations
15 (25%)
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