NASAA Uniform Securities Agent State Law (Series 63) Exam Prep Training Course & Study Materials
Prepare for your NASAA Series 63 Exam with our comprehensive online training program. We offer the most efficient and effective training solutions to ensure you master the difficult concepts and have the confidence to pass your exam the first time. Browse a variety of study packages available to fit every learning preference and budget.
*Actual price may vary depending on package selection.
NASAA Uniform Securities Agent State Law (Series 63) Exam Prep Training Course & Study Materials
Whether you learn best by reading, video, taking notes, or live instruction, we’ve got you covered. We offer flexible learning packages with access to a variety of study tools for every learning preference.
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TEXTBOOK PACKAGE
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Hard-Copy Textbook
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Personalized Study Plan
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Best Practice Guide
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Competency Exams
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Practice Question Sets
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Benchmark Final
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Standard Final Exams
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Custom Exam Generator
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Phone Instructor Support
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Glossary and Acronyms
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Real-Time Content Updates
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Report Center
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On-Demand Video Lectures
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Checkpoint Exams
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eBook
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SpotCheck Quizzes
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Online Instructor Support
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Online Flashcards
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Live Focused Webinars
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*Securities products are available through Training Consultants, an ExamFX brand. Click this button to checkout on TrainingConsultants.com
Virtual Training Schedule - Live Webinars
Reduce the stress of self-study with the Live Online Package and live focused webinars. Available with package purchase, these webinars break down the most challenging exam topics, equipping you to confidently tackle your exams.
Explore our full virtual training schedule below.
S63/65/66: Laws
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
S63/65/66: Laws
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
S63/65/66: Laws
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
S63/65/66: Laws
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
S63/65/66: Laws
Location: Online via Zoom | Available Nationwide
Must complete all chapter quizzes before attending.
Session dates are subject to change. Access Live Focused Review Webinars with the purchase of a Live Online Package.
Additional Study Materials
Looking to supplement the Textbook Package? Browse our additional study materials. The following Study Materials are included in the Online Course and Live Online Study Packages.
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Digital Flashcards
Quiz your knowledge of key concepts! Access digital flashcards without ever leaving your course to aid in studying and improving retention. Included in the Live Online and Online Course Packages.
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Exam Center
Access practice exams that mimic the actual exam. Test at multiple levels to gauge your knowledge level, identify areas needing improvement, and identify your level of readiness for exam day. Included in the Live Online and Online Course Packages.
Learn MoreExam Details
Everything you need to know about the exam before you register and start your preparation journey.
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60
Multiple-Choice Questions
1h 15min
Time to Complete
43/60 Questions Correct
Passing Score Required
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$147
Exam Cost
What is the Series 63 Exam?
The Series 63 (Uniform Securities Agent State Law Examination) is the state law test for broker-dealer representatives. A Series 63 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, candidates must prepare for and pass the Series 63 exam. This exam is administered by Financial Industry Regulatory Authority (FINRA).
Regulations of Investment Advisers & Investment Adviser Representatives
- Definitions of investment advisers
- Activities requiring registration
- Exclusions from registration
- State-registered vs. federal covered advisers
- Definition of an investment adviser representative
- Activities requiring registration
- Exclusions from registration
Regulations of Broker-Dealers
- Definition of a broker-dealer
- Registration and post-registration requirements
- Activities requiring registration
- Exclusions from registration
- Supervision of broker-dealer agents
Regulations of Agents of Broker-Dealers
- Definition of an agent of a broker-dealer
- Registration and post-registration requirements
- Activities requiring registration
- Exclusions from registration
- Updating uniform forms
Regulations of Securities and Issuers
- Definition of securities and issuers
- State registration and post-registration requirements
- Exemptions from registration
- State enforcement and antifraud authority
Remedies and Administrative Provisions
- Authority of state securities administrators
- Administrative actions
- Penalties and liabilities
Communication with Customers and Prospects
- Required product disclosures
- Prohibited representations (e.g., registration guarantees)
- Customer agreements: new accounts, margin, options
- Advertising and correspondence rules
- Social media
- Email and digital messaging
- Website and internet communications
Ethical Practices and Obligations
- Compensation: fees, commissions, markups, disclosure
- Handling customer funds and securities
- Custody, discretion, trading authorization
- Standard of care
- Conflicts of interest and prohibited activities
- Excessive trading, loans, profit sharing
- Insider trading, selling away, market manipulation
- Outside accounts, vulnerable adult exploitation
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