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Uniform Securities Agent State Law Examination (Series 63)
Find the current format, timing, scoring, fees, eligibility, and testing options for Series 63, with direct links to official sources.
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Questions65 questions: 60 scored plus 5 unscored pretest (pretest items are unidentified and may appear anywhere in the exam)
Testing time75 minutes
ScoringAt least 43 of the 60 scored questions must be answered correctly to pass (criterion-based minimum competency exam)
Exam feeUSD 147 examination fee paid to FINRA (non-refundable and non-transferable); cancellation/reschedule fees apply within 3-10 business days of an appointment
Prep options
Study resources for Series 63
Independent prep
Courses and study resources
Exam overview
What to know before choosing your prep
- Who runs it
- FINRA
- Category
- Securities Licensing
- Current version
- Series 63 test specifications effective June 12, 2023 (current specification; NASAA announcement: updated test specifications and SECURE Act 2.0 question updates both took effect June 12, 2023)
- Where it applies
- United States — national
- Exam languages
- English
- Testing provider
- Prometric (FINRA's test delivery vendor)
- Format
- Computer-based, closed-book, multiple-choice exam delivered at Prometric test centers
- Availability
- By appointment at Prometric test centers (including sites outside the United States) within a 120-day enrollment window; one exam attempt per exam fee/window
- Results
- Result notified immediately upon completion of the exam; no certificate is issued beyond the results given at the exam site
- Score validity
- Standard two-year rule in most states — after passing, the candidate has two years to become registered or the exam expires; once registered it remains valid while registration stays active (two years to re-register after termination); NASAA's Exam Validity Extension Program (EVEP) can extend validity up to five years in adopting states via annual CE
- Remote testing
- Not available
Exam structure
60 scored multiple-choice items across eight topic areas of the June 12, 2023 test specifications: Regulations of Investment Advisers, Including State-Registered and Federal Covered Advisers (5%, 3 questions); Regulations of Investment Adviser Representatives (5%, 3); Regulations of Broker-Dealers (12%, 7); Regulations of Agents of Broker-Dealers (13%, 8); Regulations of Securities and Issuers (9%, 5); Remedies and Administrative Provisions (11%, 7); Communication with Customers and Prospects (20%, 12); and Ethical Practices and Obligations (25%, 15); plus 5 unscored pretest items; each exam is assembled 'on the fly' to identical difficulty and content parameters
Where rules vary
Developed by NASAA (the association of North American state, provincial, and territorial securities regulators), but the exam qualifies candidates as securities agents under U.S. state law; the same uniform exam applies across U.S. jurisdictions, and most states require the Series 63 in addition to FINRA exams for broker-dealer agent registration. Test centers also exist outside the U.S., but that is delivery convenience, not jurisdiction.
Eligibility
No prerequisites, corequisites, or sponsor required — individuals not associated with a FINRA member firm can open an enrollment window directly via FINRA.org and pay the fee; firm-associated candidates are enrolled via electronic Form U4; no U.S. citizenship requirement; a Social Security or CRD number is not required (FINRA assigns a tracking number)
Retake policy
No limit on attempts, but mandatory waiting periods apply per failed attempt: minimum 30 days after the first and second failures, and minimum 180 days after a third and each subsequent failure (waiting periods count failed attempts within a two-year period and are specific to the failed exam); for enrollment windows opened on or after January 4, 2027, the third/subsequent wait drops to 60 days; a new exam fee applies per attempt