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How do I get a series 63 license?
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In order for a candidate to pass the Series 63 exam, they must correctly answer at least 43 of the 60 scored questions. For additional information about this exam, including the content outline, please visit the exams page on the NASAA website. Exam Validity Extension Program.
- What Is The Series 63?
- Understanding Series 63
- Requirements For Series 63
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The Series 63 is a securities exam and license entitling the holder to solicit orders for any type of security in a particular state. To obtain a Series 63 license, the applicant must pass an exam and possess knowledge of ethical practices and fiduciaryobligations.
As of Dec. 2018, the North American Securities Administrators Association (NASAA), which creates the Series 63 exam, had updated its questions in light of recent changes to the tax code. Questions based on the 2018 tax code were phased out in January 2019. Questions for the Series 65 and Series 66 examswere also updated. The Series 63 (formally kno...
Exam Format
The Financial Industry Regulatory Authority (FINRA) administers the Series 63 exam. There are 60 multiple-choice questions on the exam. The passing score is 72% or 43 of the 60 questions. The candidate must complete the exam within the allotted time of 75 minutes. As of March 2020, it costs $135 to take the exam. The North American Securities Administrators Association (NASAA) developed the exam along with representatives of the securities industry. Candidates for the exam need to be familiar...
Exam Topics
The Series 63 exam covers the principles of state securities regulations and rules prohibiting dishonest or unethical practices. Some 45% of the questions pertain to regulations, 10% to administrative provisions, 20% to customer communication, and 25% to ethical practices and business obligations. The topics on the exam include registration of various persons and securities, and fiduciary responsibility with client funds and securities. For more, see NASSA's Test Specifications. Successfully...
Learn what the Series 63 exam is, who needs to take it, and how to prepare for it. The exam covers state securities regulations and ethical practices for registered representatives in most U.S. states.
- Julia Kagan
- 1 min
May 7, 2020 · You should take the exam if you have a Series 6 license, Series 7 license, or both, and do not live or work in Colorado, Florida, Louisiana, Maryland, the District of Columbia, and Puerto Rico. Outside of those states, you cannot sell securities without passing the Series 63 exam. What are the requirements to sit for the Series 63 exam?
May 23, 2024 · The Series 63 (Uniform Securities Agent State Law) Securities License is a license regulated by the North American Securities Administrators Association (NASAA). The Series 63 is the partner license to the Series 6 and other securities licenses and is used by insurance sales professionals and financial advisors.
Mar 19, 2024 · Currently, as of February 2024, according to the FINRA website, all states except for Colorado, District of Columbia, Florida, Louisiana, Maryland, and Puerto Rico are required to pass or receive credit for the Series 63 exam. Who takes the Series 63 exam?
Mar 18, 2019 · The Series 63 license is intended to measure an applicant’s knowledge and understanding of state law and regulations. It is required for individuals soliciting the purchase or sale of securities products, such as mutual funds, variable annuities, stocks, or bonds within a state.
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