Series63 Exam Dumps
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| Certification Provider: | FINRA |
|---|---|
| Exam Code / Number: | Series63 |
| Exam Name: | Uniform Securities Agent State Law Examination |
| Exam Questions: | 251 |
| Last Updated: | Jun 27, 2026 |
| Corresponding Certification: | Uniform Securities State Law |
(162 Up Votes)FINRA Series63 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Topic 1: Regulations of Agents and Broker-Dealers | 25% | - Supervision and compliance responsibilities - Registration requirements and exemptions - Recordkeeping and reporting obligations |
| Topic 2: Regulations of Investment Advisers and Representatives | 15% | - Registration and exclusions - Advertising and recordkeeping rules - Fiduciary duties and disclosure requirements |
| Topic 3: Prohibited Practices and Ethical Obligations | 20% | - Fraudulent and unethical business conduct - Disclosure and fair dealing - Administrative remedies and enforcement |
| Topic 4: State Securities Acts and Related Rules & Regulations | 40% | - Regulation of investment advisers and representatives - Regulation of broker-dealers and agents - Definitions and jurisdiction - Registration of securities and exemptions |