Series 63 Exam

The Series 63 exam administered by the Financial Industry Regulatory Authority or FINRA, on behalf of The North American Securities Administrators Association Completion of the Series 63 exam will allow a securities agent who has passed the series 6, 7 or 62 exams to transaction business with the residents in all states that require the series 63 exam.

Series 63 Online Study Guide Book Icon

Series 63 Online Study Guide

Pass your Series 63 Exam with Investopedia's Free Online Study Guide - Click Here

Try Our Series 63 Quizzer

Start Your Series 63 Exam

Exam Details

Time Limit: One hour and 15 minutes
Cost: $115
Number of Questions: 60, plus 5 "pre-test" questions
Passing Score: 72%
Format: Multiple Choice
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: http://www.finra.org


Exam Topic Weights


Function 1: State Securities Acts and Related Rules and Regulations - 36 questions;

Function 2: Ethical Practices and Fiduciary Obligations 26 questions;

Total 60 Questions

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





Financial Professionals
  1. Professionals

    When Your Client's Retirement is Around the Corner

  2. Professionals

    A New Wake-up Call for Savers

  3. Professionals

    Retirement Bliss? Not So fast: When Savings Lag

  4. Fundamental Analysis

    What's a Prospectus?

  5. Professionals

    Why Now is the Time to Snag Gen X Clients

Trading Center