Series_63 Exam Dumps
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| Certification Provider: | FINRA |
|---|---|
| Exam Code / Number: | Series_63 |
| Exam Name: | Uniform Securities Agent State Law Examination |
| Exam Questions: | 255 |
| Last Updated: | Jun 27, 2026 |
| Corresponding Certification: | FINRA Certification |
(324 Up Votes)FINRA Series_63 Exam Syllabus Topics:
| Section | Weight | Objectives |
|---|---|---|
| Regulations of Investment Advisers | 5% | - Registration and exemptions - Definition under Uniform Securities Act - Recordkeeping and reporting rules |
| Regulations of Investment Adviser Representatives | 5% | - Registration and post-registration duties - Exclusions and exemptions - Definition and activities requiring registration |
| Regulations of Agents of Broker-Dealers | 13% | - Termination and notice requirements - Registration procedures and Form U4 - Exemptions from registration - Definition and scope of activities |
| Administrative Provisions and Remedies | 15% | - Powers of state securities administrators - Investigations, subpoenas, and orders - Civil and criminal liabilities - Judicial review and appeals |
| Regulations of Broker-Dealers | 12% | - Exclusions and exemptions from registration - Supervision and compliance obligations - Registration and post-registration requirements - Definition and legal status |
| Regulations of Securities and Issuers | 10% | - Definition of securities - Exempt securities and exempt transactions - Disclosure and anti-fraud requirements - Registration methods: coordination, qualification, filing |
| Ethical Practices and Fiduciary Obligations | 40% | - Prohibited business practices - Customer suitability and disclosure - Advertising and communication rules - Conflicts of interest and compensation - Anti-fraud provisions and misrepresentation - Handling of customer funds and securities |