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Jun 12, 2023 · The exam outline is designed to provide an overview of the exam’s general content and format. Candidates should educate themselves about the Uniform Securities Act, as well as Statements of Policy and Model Rules adopted by NASAA, in preparation for the Series 63 exam.
Oct 9, 2023 · Your successful career as a securities agent begins with the Series 63 exam. Read these helpful tips to remove some of the mysteries behind the exam and prepare for taking the test.
Apr 2, 2024 · The Series 63 exam, formerly known as the Uniform Securities State Law Exam, is the required test for those who wish to become an investment professional. In other words, it’s the exam for those who want to be able to buy and sell financial products like stocks, bonds, mutual funds or annuities.
May 7, 2020 · What is the Series 63 exam? Why should I take it? The Series 63, Uniform Securities Agent State Law Examination, is the state law test for broker-dealer representatives. It is a North American Securities Administrators Association (NASAA) exam administered by FINRA.
Jan 28, 2024 · The Series 63 exam is a state securities licensing exam created by NASAA and conducted by the Financial Industry Regulatory Authority (FINRA). The exam measures an individual's knowledge of securities law and its application to the investment industry.
The Uniform Securities Agent State Law Examination, commonly referred to as the Series 63, is developed by North American Securities Administrators Association (NASAA) and is administered by the Financial Industry Regulatory Authority (FINRA).
The Series 63 examination evaluates an applicant’s knowledge of certain securities law principles under federal and state law. These principles have been identified by subject matter experts as appropriate metrics for successful professional service as a broker-dealer agent.
