Uniform Securities Agent State Law Examination (Series 63) — NASAA
The Series 63 (Uniform Securities Agent State Law Examination) from NASAA tests the state securities law an agent needs to know, from regulation of broker-dealers and agents to ethical practices, customer communications, investment advisers and remedies. States that require it use it as part of agent registration. SummitCert's portal offers explained practice questions, flashcards, a timed 60-question mock, a glossary and progress tracking by domain.
One-time purchase · lifetime access · study on any device
Everything included — in full detail
This is exactly what you unlock. No vague promises — real numbers, straight from the portal.
Your full practice pool — 350 questions total, written to mirror the real exam blueprint, with full answer explanations for every question.
Including Regulation of Broker-Dealers, Regulation of Broker-Dealer Agents, Ethical Practices and Obligations, and more.
A complete, realistic exam-day simulation with the same question count and time limit as the real thing.
Covering every key term, concept, and framework you're expected to know.
Hand-picked walkthroughs and explainers organized by topic.
Visual breakdowns of the frameworks and models the exam tests you on.
The exact formulas and calculations you need, ready to review before test day.
A searchable glossary so unfamiliar terminology never slows you down.
See your accuracy by domain, spot weak areas early, and follow a built-in study schedule.
Tailored to this exam: it knows your progress and weak areas, remembers your earlier chats, and picks up where you left off on your other devices.
Study anywhere — your progress syncs on the device you are using and picks up where you left off.
No subscriptions, no renewals — buy once and keep studying until you pass.
See the Series 63 portal
Real screenshots — this is exactly what you'll be studying in. Click to zoom in.
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Topics you'll drill
8 core topics pulled straight from the real question bank.
- Regulation of Broker-Dealers
- Regulation of Broker-Dealer Agents
- Ethical Practices and Obligations
- Communication with Customers and Prospects
- Regulation of Securities and Issuers
- Regulation of Investment Advisers
- Regulation of Investment Adviser Representatives
- Remedies and Administrative Provisions
Series 63 exam requirements & cost
Straight from the certifying body — separate from what we charge for the study portal.
The NASAA Series 63 page describes 65 multiple-choice questions, of which 60 are scored and 5 are unidentified pretest items, in 75 minutes. To pass you need 43 of the 60 scored questions. The NASAA study guide (September 1, 2023) has eight areas: Regulation of Broker-Dealers (12%), Regulation of Broker-Dealer Agents (13%), Ethical Practices and Obligations (25%), Communication with Customers and Prospects (20%), Regulation of Securities and Issuers (9%), Regulation of Investment Advisers (5%), Regulation of Investment Adviser Representatives (5%) and Remedies and Administrative Provisions (11%). The NASAA page lists an exam fee of US$147 paid to FINRA and waiting periods before a retake of 30 days after the first and second failed attempts and 180 days after the third and later attempts. You need 43 of the 60 scored questions to pass, which is about 71.7%. The portal mock uses the same 60-question length, but its score is a self-check, not a prediction of your result. The NASAA page lists the Series 63 exam at US$147, paid to FINRA. Fees can change, so confirm the current amount with NASAA or FINRA. The content outline spreads questions across 8 areas; the largest are Ethical Practices and Obligations (25.0%); Communication with Customers and Prospects (20.0%); Regulation of Broker-Dealer Agents (13.0%). The full list of areas and weights is on the portal exam page. Registration is filed by your firm on Form U4, or by you through FINRA if you are not affiliated with a firm; state requirements vary, so confirm them with your state securities regulator. The portal is a practice aid built on the published study guide: it is not a copy of the exam and it does not predict your score.
Series 63 exam blueprint
Real domain weighting from the certifying body's own published exam syllabus.
- Regulation of Broker-Dealers12%
- Regulation of Broker-Dealer Agents13%
- Ethical Practices and Obligations25%
- Communication with Customers and Prospects20%
- Regulation of Securities and Issuers9%
- Regulation of Investment Advisers5%
- Regulation of Investment Adviser Representatives5%
- Remedies and Administrative Provisions11%
Real pass rate, retake policy, scoring, and a study timeline for Series 63 — free, no purchase required.
Common questions
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