FINRA Series_63 : Uniform Securities Agent State Law Examination

Exam Code: Series_63
Exam Name: Uniform Securities Agent State Law Examination
Updated: Sep 18, 2026
Q & A: 255 Questions and Answers

About FINRA Series_63 Exam

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FINRA Series_63 Exam Syllabus Topics:

Section	Weight	Objectives
Topic 1: Ethical Practices and Fiduciary Obligations	40%	- Handling of customer funds and securities - Customer suitability and disclosure - Anti-fraud provisions and misrepresentation - Prohibited business practices - Conflicts of interest and compensation - Advertising and communication rules
Topic 2: Regulations of Investment Adviser Representatives	5%	- Exclusions and exemptions - Registration and post-registration duties - Definition and activities requiring registration
Topic 3: Regulations of Investment Advisers	5%	- Definition under Uniform Securities Act - Recordkeeping and reporting rules - Registration and exemptions
Topic 4: Regulations of Agents of Broker-Dealers	13%	- Exemptions from registration - Definition and scope of activities - Registration procedures and Form U4 - Termination and notice requirements
Topic 5: Regulations of Securities and Issuers	10%	- Registration methods: coordination, qualification, filing - Exempt securities and exempt transactions - Definition of securities - Disclosure and anti-fraud requirements
Topic 6: Administrative Provisions and Remedies	15%	- Civil and criminal liabilities - Investigations, subpoenas, and orders - Powers of state securities administrators - Judicial review and appeals
Topic 7: Regulations of Broker-Dealers	12%	- Registration and post-registration requirements - Definition and legal status - Supervision and compliance obligations - Exclusions and exemptions from registration

FINRA Uniform Securities Agent State Law Examination Sample Questions:

Question #1

In which of the following cases is an investment adviser allowed to be compensated with a share of the
capital gains of the client's portfolio?
I. The client is a mutual fund.
II. The client is a credit union.
III. The client is a private client whose minimum net worth is $1 million or more.
IV. The client is a private client who has at least $750,000 invested through the investment adviser.

A. I, II, and IV only
B. I and II only
C. none of the above. An investment adviser is never allowed to share in the capital gains earned on
D. I, II, and III only

Reveal Solution Discussion 0

Correct Answer: A 🗳️