Uniform Securities Agent State Law Examination
Exam Code: Series 63
The Series 63 certification validates your knowledge of state securities regulations, ethical business practices, fiduciary obligations, and the legal responsibilities required to act as a securities agent in many U.S. jurisdictions.
- Exam Breakdown
- Domain Breakdown
- Access Breakdown
Exam Format
- Exam Code: Series 63
- Certification Level: State Securities Agent Qualification Exam
- Exam Duration: 1 hour and 15 minutes
- Passing Score: 43 out of 60 scored questions
- Unscored Content: The exam includes 5 additional unidentified pretest questions. These do not count toward the final score and may appear anywhere in the exam.
Exam Details
- Question Types: Multiple choice
- Number of Questions: 60 scored questions + 5 unscored pretest questions
- Hands-On Questions: The exam does not include hands-on lab questions. It is a computer-administered multiple-choice examination focused on state securities laws and ethical practices.
Exam Policies
- Offline Proctoring: The exam can be taken at authorized Prometric test centers.
- Online Proctoring: Online testing may be available through FINRA/NASAA’s approved online testing process, subject to eligibility and scheduling availability.
- Waiting Period: Candidates who fail the exam must generally wait 30 calendar days before retaking it. After three or more failed attempts, a 180-calendar-day waiting period applies.
- Retake Fee: Full exam fee must be paid for each retake. A new enrollment is required for another attempt.
Certification Validity and Renewal
- Validity: The Series 63 qualification generally remains valid while the individual maintains the required state registration. If registration ends, the qualification usually remains valid for two years.
- Renewal Options: Validity can be maintained through active registration and applicable continuing education requirements. Eligible individuals may also use the Exam Validity Extension Program where adopted by state regulators.
Exam Fee
- Base Fee: $147 USD
- Taxes: Country-specific VAT/GST may apply. Example: In India, 18% tax applies, making the total $173.46 USD ($147 + $26.46 tax)
Prerequisites
There are no formal prerequisites for taking the Series 63 exam. Firm sponsorship is not required for unsponsored candidates, who may open an exam enrollment window through the applicable FINRA/NASAA process.
However, to become registered as a securities agent, candidates usually need:
- Applicable state registration approval
- Association with a broker-dealer or financial services firm, depending on role
- A product qualification exam such as Series 6 or Series 7, where required
- Understanding of securities industry rules and ethical practices
It is recommended to have:
- Knowledge of state securities laws
- Understanding of the Uniform Securities Act
- Familiarity with broker-dealer and agent registration rules
- Awareness of prohibited and unethical business practices
- Basic understanding of securities products and customer interactions
Exam Topics
- State Securities Acts and Related Rules and Regulations: Registration of persons, broker-dealers, agents, investment advisers, investment adviser representatives, securities registration, exemptions, exempt transactions, and administrative provisions
- Ethical Practices and Fiduciary Obligations: Fraud, misrepresentation, unethical conduct, fiduciary duties, customer communications, suitability, disclosure, prohibited practices, and investor protection responsibilities
Intended Audience
The Series 63 certification is ideal for individuals who want to work as securities agents or broker-dealer representatives in jurisdictions that require state law qualification, including roles such as:
- Securities Agent
- Registered Representative
- Broker-Dealer Representative
- Financial Services Representative
- Investment Products Representative
- Client Relationship Associate
- Entry-Level Financial Advisor
Career Impact
Jobs You Can Get:
- Securities Agent, Registered Representative, Broker-Dealer Representative, Financial Services Representative, Client Associate, Investment Products Representative, and Entry-Level Financial Advisor.
Average Salary:
- Varies by country — U.S.: $45,000–$80,000 USD,
- India: ₹3,00,000–₹9,00,000 INR,
- United Kingdom: £25,000–£50,000 GBP,
- UAE: 80,000–150,000 AED per year.
Why It’s Valuable:
- It helps satisfy state securities law qualification requirements and demonstrates knowledge of registration rules, ethical conduct, investor protection, and regulated securities business practices.
Exam Mode
The exam is proctored and can be taken either:
- In-person at authorized Prometric test centers
- Online through FINRA/NASAA’s approved online testing process, where available
Exam Booking Link
- Book your Series 63 Exam through FINRA / Prometric after opening an exam enrollment window — Click here (https://www.finra.org/registration-exams-ce/qualification-exams/series63)
Once you pass the exam
- Your passing result is recorded in FINRA’s Central Registration Depository system, where applicable
- Processing Time: Registration status is updated after exam results and state or firm registration requirements are processed
- Coordinate with your sponsoring firm, state regulator, or registration department, as applicable
- Confirm your qualification or registration status through FINRA systems or your firm’s compliance portal
Offers
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Top Reasons to Choose
Uniform Securities Agent State Law Examination
Required for Many State Registrations
Series 63 is required in many U.S. jurisdictions for securities agents, helping candidates meet state law registration expectations and support compliant client-facing roles across broker-dealers, banks, and financial institutions nationwide.
Strong Legal and Ethical Foundation
Series 63 focuses on state securities laws, registration rules, exemptions, ethical practices, and fiduciary obligations, giving representatives practical knowledge to avoid prohibited conduct and protect retail investors effectively professionally today.
Career Support for Securities Representatives
Combined with exams like Series 6 or Series 7, Series 63 strengthens a financial services profile and supports roles involving securities sales, customer solicitation, compliance awareness, and regulated client interactions.
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FAQ
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Who should take the Series 63 Uniform Securities Agent State Law exam?
The Series 63 exam is intended for individuals who want to become securities agents in jurisdictions that require state law qualification. It is commonly taken by candidates pursuing broker-dealer representative roles, especially those who also hold or plan to hold product-level qualifications such as Series 6 or Series 7 licenses.
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How difficult is the Series 63 exam?
The Series 63 exam is generally considered moderate in difficulty, but it can feel challenging because it focuses heavily on legal terminology, securities rules, exemptions, registration requirements, and ethical practices. Candidates must answer 43 of 60 scored questions correctly within 75 minutes, so careful preparation and time management are important.
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Why does NASAA offer the Series 63 qualification?
NASAA offers the Series 63 exam to help state securities regulators evaluate whether candidates understand state securities laws and ethical business practices. The exam supports investor protection by confirming that representatives know registration requirements, exemptions, prohibited conduct, fiduciary obligations, administrative provisions, remedies, and related responsibilities before acting as securities agents.
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What tools and resources can be used to prepare for the Series 63 exam?
Candidates should prepare using the official NASAA Series 63 content outline, NASAA study guide, firm-provided training, approved exam preparation materials, and practice questions. Study should focus on state securities acts, registration of persons and securities, exempt transactions, ethical practices, fiduciary obligations, communications, recordkeeping, administrative rules, remedies, definitions, and exam success.
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Is the Series 63 qualification still valuable in 2026?
Yes, Series 63 remains valuable in 2026 for professionals pursuing securities agent registration in many U.S. jurisdictions. It complements product exams such as Series 6 or Series 7 and demonstrates knowledge of state securities laws, ethical obligations, prohibited practices, registration rules, and investor protection expectations for regulated financial services careers.
