Complete FINRA Series 63 Exam Guide for Securities Agents

By IIC Lakshya

09 Jan 2026

ACCA

Complete FINRA Series 63 Exam Guide for Securities Agents

Candidates preparing for the Financial Industry Regulatory Authority (FINRA) exam should familiarize themselves with the eligibility criteria, syllabus, and strategies to succeed. Explore the career paths that are available for the FINRA Series 63 exam certification.

What is the FINRA Series 63 Exam?

The FINRA Series 63 exam is officially called the Uniform Securities Agent State Law Examination. Securities professionals learn how to assess the state securities regulations and ethical practices in this certification. Learn about the FINRA exam course and syllabus to understand the requirements for appearing for the exam.

With the Series 63 exam, it is important to have additional FINRA exams like the Series 7 if the professionals want to sell securities within the U.S. states. The certification of FINRA Series 63 focuses on ethical standards, compliance with state laws, and investor protection.

Eligibility Criteria for FINRA Series 63 Exam

Here is a list of eligibility criteria for candidates who are planning to apply for the FINRA Series 63 exam. You also get to learn about what the FINRA exam is, the specific series meaning, and other aspects. These requirements vary based on the individuals applying for the exam, from various stages of their professional career in the securities industry.

Candidates do not need any formal educational prerequisites
The FINRA aspirants also need to be associated with a FINRA-member firm or be sponsored by them
Holding another FINRA registration certification or in the pursuing stage, especially Series 7

FINRA Series 63 Exam Syllabus

To develop a better understanding of the FINRA Series 63 exam, you need to learn and understand the different topics related to the sections. The syllabus of the exam emphasizes state-level ethical conduct and securities regulations. You can learn more about the syllabus details from the FINRA Series exam study books.

Business Practices & Customer Protection

As a FINRA exam aspirant, you will get to learn about recordkeeping. There are other topics that are discussed in this section, are client communications and disclosure requirements.

State Securities Act & Administration

Securities professionals learn about exemptions and exclusions in this section. Candidates also learn the process related to the registration of persons and securities. Furthermore, additional knowledge of state administrator authority is also provided in this section. Candidates also must follow the FINRA Series exam step-by-step study guide, thus preparing effectively for the exam.

Ethical Practices & Fiduciary Responsibilities

The candidates study topics like fraud and unethical conduct related to the securities industry in this section. There are other topics, like duties to clients and prohibited practices related to firms and organizations, which are covered in this section.

How to Crack the FINRA Series 63 Exam?

With the following tips and recommendations, candidates can easily crack the FINRA Series 63 exam. Learn about the FINRA exam levels, and you can also create a structured study plan. Candidates must regularly revise the topics and their practices, leading to better results.

Candidates must focus on ethics-based questions
Scenario-based questions, mock test papers, and others should be regularly practiced, which improves time management and identifies weak areas
In this section, candidates develop a deeper understanding of state securities laws and definitions
All professionals develop an understanding of legal reasoning by evaluating all answers

Career Path After FINRA Series 63 Exam

There are diverse career paths for securities professionals who qualify for the FINRA Series 63 exam. The Series 63 is a mandatory licensing requirement along with other accreditations. Below is a list of roles and designations that the candidates can apply for and work with this credential.

Broker-dealer Representative
Registered Securities Representative
Financial Advisor
Wealth Management Professional
Investment Advisor Associate (additional licenses like Series 7)

Wrapping Up!

In conclusion, the FINRA Series 63 exam is an essential qualification for securities professionals who are working with clients at the state level. It is significant for them to understand the ethical and regulatory principles, pass the exam, and qualify for the certification.

Frequently Asked Questions on FINRA Series 63 Exam

Can you take FINRA exams at home?

There is a Prometric scheduling page on the FINRA website that can be accessed by eligible candidates to take the online exam. They can choose to schedule a remote proctored exam from the navigation panel.

What is FINRA in India?

In India, FINRA is a certification that works towards establishing and maintaining the integrity of the securities market. The FINRA Institute is responsible for setting standards which is related to market transparency and ethical behavior.

Is Series 66 similar to Series 63?

The Series 66 is not exactly similar to the Series 63 because the exam is equivalent to the other two exams, Series 63 and Series 65.

Do I need Series 7 if I have CFA?

CFA certification is not compulsory for the financial industry; however, it does enhance credibility. While the FINRA Series 7 exam is a necessary qualification for Securities professionals, they are not compulsory for each other. However, the Series 7 exam is compulsory for the SIE exam, the introductory exam.

Is the Series 7 or 63 harder?

The Series 7 is much harder when compared to 63, because it is more complex, broader, and longer. While the Series 63 is focused on rules compared to products, and has a shorter exam.