SERIES 63
STATE LAW PREP

Study guides

Study guides

Independent guides aligned to the current NASAA Series 63 outline and FINRA administration information.

Exam map

Series 63 format, score and current outline

Plan for 65 questions in 75 minutes, with 60 scored items and a 43-correct passing requirement.

Content outline

Map the eight Series 63 subject areas

Use the official weights to prioritize ethics, communications, registrations and state-law remedies.

Broker-dealers · 12%

Decide when a broker-dealer must register

Work from definition to exclusion, jurisdiction, filing obligation and supervision rather than memorizing isolated labels.

Agents · 13%

Distinguish agents, issuers and registration triggers

Resolve status questions by examining representation, transaction type, compensation and state activity.

Ethics · 25%

Recognize dishonest and unethical practices

Apply customer protection principles to recommendations, transactions, custody, records and conflicts.

Communications · 20%

Evaluate customer communications and disclosure

Judge advertising, correspondence and public statements by accuracy, balance, approval and record obligations.

Securities & issuers · 9%

Separate security registration, exemptions and antifraud rules

Build a three-layer analysis for the instrument, transaction and continuing conduct obligations.

Advisers & IARs · 10%

Keep broker-dealer and adviser roles distinct

Use compensation, advice, business activity and representative status to identify regulatory boundaries.

Remedies · 11%

Understand administrator powers and remedies

Follow the sequence from investigation and order to civil, criminal and private remedies.

Exam execution

Manage 75 minutes without rushing the law

Use a fast first pass, reasoned flags and a short final review for 65 multiple-choice items.

Process

Plan retakes and state registration accurately

Understand the 30/30/180-day waiting pattern, enrollment window and limits of an exam pass.

Study plan

A six-week Series 63 study plan

Move from the legal framework to weighted domains, mixed questions and full 75-minute simulations.