Series 63 Exam
Uniform Securities Agent State Law Exam
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TUTORING AVAILABLELost in the Legalese? Confused About Custody? The Ninja Can Help.
From deciphering registration rules to navigating Form ADV, personalized Series 63 tutoring simplifies the confusing world of securities regulations.
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Get expert help on topics like:
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Who registers where — Broker-dealers vs. investment advisers, agents vs. IARs
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Understanding Form ADV, U4, U5, and what must be disclosed
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Custody vs. discretion — and why it matters
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Cross-agency transactions, consent to service of process, and other common trip-ups
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State vs. federal jurisdiction — when and why
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Any regulation or concept you just can’t make sense of — bring it with you!
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Book a 1-on-1 or small group tutoring session starting at just $99.
Let the Ninja help you master the maze of the Uniform Securities Act and pass with confidence.
FINRA Series 63 Exam  Â
- 65 multiple-choice questions (5 unscored), 1 hour 15 minutes to complete, 72% passing score
- Recommended study time: 25 to 35 hours
- Required by most states for registered reps. Focuses on state laws and ethics—shorter and narrower than Series 7
- Tests knowledge of blue-sky laws, agent registration, prohibited practices, and fiduciary responsibilities under the Uniform Securities Act  Â
Registration of BDs/IAs & their Reps (35%)
Communications with Customers (20%)
Securities/ Issuers & Admin Provisions (20%)
Ethical Practices (25%)
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