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Exam Prep - Series 63 Exam

An exam administered by the Financial Industry Regulatory Authority or FINRA, (formerly the National Association of Securities Dealers). Completion of the Series 63 exam will entitle an individual with the qualifications necessary to become a limited registered representative who solicits orders for corporate debt and equity securities such as common and preferred stock, bonds, warrants, and more.

Series 63 Online Study Guide

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Exam Information

Time Limit: One hour and 15 minutes

Number of Questions: 65 (Includes 5 pre-test questions that will not count towards the final score)

Passing Score: 70%

Format: Multiple Choice

Examination Fee $82 US. Note that this is the examination fee ONLY, other fees may also apply. Please visit the FINRA Registration/Exam Fee Schedule for more.

Prerequisites: There are no prerequisites for registration. If registering as an individual, you must complete Form U-10.

Exam Date(s): Any day of the week, excluding Sundays

Exam Locations: Find an exam center in your state here. Complete information about your appropriate testing center, admittance requirements and exam administration will be included with the enrollment confirmation form mailed to you.

Official Exam Website: www.finra.org

Additional Exam Details

- For an in-depth breakdown, see the North American Securities Administrators Association�s (NASAA) study guide..

Terms to Know

Broker-Dealer

Front Running

Insider Trading

Securities & Exchange Commission - SEC

Regulation Fair Disclosure - RFD

Selling Away

Shelf Registration

Shingle Theory