Securities Exam Prep Series 63
FINRA Series 63 Exam Prep
To pass your Series 63 licensing exam, ExamFX has created a comprehensive online training program to ensure that you are
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Organization Discounts Available*Actual price may vary depending on state and course selection. Please see purchasing portal for actual pricing for your state and organization. Discount pricing may also be available with qualifying manager email, discount code, or by visiting your specific organization's page.
Series 63 Package Comparison
We offer flexible solutions and packages for every learning style, specifically designed to help you pass your Series 63 exam. Through our training you will have access to a variety of helpful study tools that will prepare you for test day.
We guarantee you will pass your licensing exam on the first attempt. If you do not pass the licensing exam after scoring an 80% on the Guarantee Exam, we will refund the cost of the material. Licensing exam must be taken within 3 days after passing the Guarantee Exam. A copy of the licensing exam results and access code must be provided.
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What is the Series 63 license and what will it do?
The Series 63 (Uniform Securities Agent State Law Examination) license allows financial services professionals to solicit orders of any type of security in a particular state. In order to obtain a Series 63 license, you must prepare and pass the Series 63 exam. This exam is administered by FINRA (Financial Industry Regulatory Authority) a. To view a complete, detailed test outline, please follow the link to the North American Securities Administrators Association (NASAA) website and view the Series 63 outline.
VIEW THE NASAA SERIES 63 OUTLINE
About the Series 63 Exam
What are the topics covered on the Series 63 Exam?
The Series 63 exam is broken down into two parts. These topics include:
- State Securities Acts and related rules and regulations
- Ethical practices and fiduciary obligations
See below for more detailed breakdown or visit the NASAA link above.
State Securities Acts and related rules and regulations
- Regulation of Investment Advisers, including stateregistered and federal covered advisers
- Regulation of Investment Adviser Representatives
- Regulation of Broker-dealers (e.g., definition, registration, post-registration requirements)
- Regulation of Agents of Broker-dealers
- Regulations of Securities and Issuers
- Remedies and Administrative Provisions
Ethical practices and fiduciary obligations
- Communications with clients and prospects
- Client funds and securities
- Conflicts of interest and other fiduciary issues
FINRA Series 63 Exam Details
The Series 63 exam consists of 60 multiple-choice questions and is a total duration of 1 hour and 15 min. The minimum passing score is 72%. The exam cost is approx. $135.
What is the ExamFX Guarantee Exam?
As a first in the prelicensing industry, we stand by our mission to provide students with quality learning tools and instruction. We guarantee each student will pass his or her exam on the first attempt. If a student fails the state exam within three days after scoring 80% on the Guarantee Exam, we will refund the cost of the material. It is that simple.