Securities Exam Preparation, Inc., established in 1972

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We are a consulting organization specializing in
self-study test preparation for FINRA, NASAA, and
futures industry exams.

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Note: All FINRA (NASD) exams are continually being updated.
You should take your exam within 120 days of ordering your study materials!

Series 63 Exam | Uniform Securities Agent Laws

Individual states sometimes require the Series 63 exam as a condition of registration as a registered representative.

The Series 63 test covers the Uniform Securities Act of 1956 with amendments adopted by NASAA (North American Securities Administrators Association). It is intended to provide a basis for state securities administrators to determine an applicant's knowledge and understanding of state law and regulations.

No prerequisite $115 test fee (Form U-10 or U-4) 75 minute time limit

Test Topics in the Study Manual

Approximate Test Questions

Registration/licensing Requirements 24
Securities Registrations 6
Business Practices 24
Administrative Procedures
Total 60 questions

Passing percentage, effective 1/1/2010, for the 63 exam will be 72%.

Series 63 Exam Study Text

Series 63 Book


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The Series 63 study program has 400+ pages,  is perfect bound and is divided into the four broad categories of the exam.

There are Section Quizzes with complete explanations plus Fifteen Final Exams that simulate the test! Over 1,000 questions.

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Series 63 CD of Final Exams

Series 63
Windows CD



Windows Only!

The Windows CD contains over 1,000 practice questions with complete rational! 20 quizzes (5 for each of the 4 areas on the exam) and TEN final exams weighted properly. The Series 63 CD is a good supplement to any study book you may have!


  • 3 MB of hard disk space
  • Windows only
On this single-user system you can take the quizzes as many times as you like, but the CD expires after a certain time-period from the date of purchase -- you should take the Series 63 exam within 120 days of buying the CD.

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Study Text and CD of Final Exams

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 Study Text and CD


Windows Only!

Study text and CD Package

Windows Only!

Smart 63 on the Web

Smart 63
on the web


Your order is processed manually during regular business hours and download instructions will be sent to your email address.

No Books! No Shipping. 

This internet delivered Series 63 study program eliminates books and has all the material on the web! The program is divided into the same "Chapters" as our Series 63 text, and includes an online textbook that leads you through every topic, testing you on each major point!

The Smart Series 63 dynamically modifies your learning sequence, based on your strengths and weaknesses. If you are having difficulty with a major concept, you're presented with the information in a variety of reinforcing methods --until mastery is achieved! If you're not having problems with an area -- you'll move rapidly through the program. Nice....

The program covers over 200 concepts, arranged within the 4 major areas tested on the Series 63 exam. Each concept includes:

  • practice questions with detailed explanations that not only explain which answer is correct, but --for the more complex concepts-- also explain why the other answers are wrong!
  • a Quick 63 Summary - an easy-to-read condensation of the most important points tested.
Other key features are:
  • Mastery Exams
    • Quizzes that test each of the 4 major areas:
      • Finals, covering Registration & Licensing
      • Securities Registration
      • Business Practices
      • Administrative Procedures
  • tests are weighted in the same manner as the material in the actual exam with detailed feedback on areas needing additional study
  • full text search capabilities through the Glossary and Quick 63
    About the Test - tips for passing the exam

System requirements:

  • Browser on Windows or Mac OS and use:
    • Internet Explorer (version 6 or better, only on Windows) or
    • Google Chrome or
    • Safari or
    • Firefox (version 3.6 or better)

The content for Smart 63 is constantly updated. Changes are added to the material as they become available. The license to use Smart 63 expires one year after purchase date. In addition, if your account does not show any activity for 60 days, the account will be made inactive. Should this happen, your account will be reactivated upon request any time during the one year license. Requests for reactivation should be sent to . Please reference your order number, date of order, full name and email address when contacting support.

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Smart 63 on the Web + Book

In addition to the total program on the web, you can add the hard copy Series 63 study book, too, and save $35.00.


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After your order is processed you’ll be contacted at your email address for downloading and authorization instructions

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