Uniform Securities Agent State Law Exam

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The Uniform Securities Agent State Law Examination also called Series 63 exam is developed by NASAA and is administered by the NASD. The examination is designed to qualify candidates as securities agents.

The Uniform Securities Agent State Law Examination consists of 65 multiple-choice questions . Applicants are allowed 75 minutes to complete the examination. Applicants must attain scores of 70% in order to pass. Credit is only given for correct answers. Of the 65 questions on the exam, 60 will count toward the final score. The remaining 5 questions are being pre-tested for possible inclusion in the operational question bank. These questions may appear anywhere in the exam and are not identified.

The examination covers the principles of state securities regulation reflected in the Uniform Securities Act (with the amendments adopted by NASAA and rules prohibiting dishonest and unethical business practices). The examination is intended to provide a basis for state securities administrators to determine an applicant's knowledge and understanding of state law and regulations.

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