Uniform Securities Agent Laws
Most states require the Series 63 exam as a condition of registration as a
securities registered representative.The Series 63 exam covers the Uniform
Securities Act of 1956 with amendments adopted by NASAA (North American
Securities Administrators Association). The Series 63 exam is intended to
provide a basis for state securities administrators to determine an applicant's
knowledge and understanding of state law and regulations.
No test prerequisite. $82 test fee (Form U-10 or U-4)
75 minute time limit
Series 63 Test Topics
|
Approximate Test
Questions
|
|
Registration of Persons |
18 |
|
Securities |
15 |
|
Business Practices |
21 |
|
Administrative Provisions and Other Remedies |
6 |
|
|
Total 60
questions |
There are five additional questions on the exam but they don't count for time
or score. They're sampling questions included by NASAA. Securities Exam Preparation, Inc. is a consulting organization specializing
in self-study programs for FINRA(NASD) test preparation -- and in coordinating
registration services for Investment Advisors, Broker Dealers, Commodity Trading
Advisers, and Introducing Brokers.
Click Here to
Order Series 63 Products
|
