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Series 63 Uniform Securities Agent State Law Exam* (Series63) Practice Tests & Test Prep by Exam Edge - Topics


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Understanding what is on the Series 63 Uniform Securities Agent State Law Exam* exam is crucial step in preparing for the exam. You will need to have an understanding of the testing domain (topics covered) to be sure you are studing the correct information.

  • Directs your study efforts toward the most relevant areas.
  • Ensures efficient and adequate preparation.
  • Helps identify strengths and weaknesses.
  • Allows for a focused approach to address gaps in understanding.
  • Aligns your preparation with the exam's expectations.
  • Increases the likelihood of success.
  • Keeps you informed about your field's current demands and standards.
There is no doubt that this is a strategic step in achieving certification and advancing your career.

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Understanding the exact breakdown of the Series 63 Uniform Securities Agent State Law Exam test will help you know what to expect and how to most effectively prepare. The Series 63 Uniform Securities Agent State Law Exam has multiple-choice questions The exam will be broken down into the sections below:

Series 63 Uniform Securities Agent State Law Exam Exam Blueprint
Domain Name % Number of
Questions
State Securities Acts and related rules and regulations 60% 36
     Regulation of Investment Advisers, including state registered and federal covered advisers
     Regulation of Investment Adviser Representatives
     Regulation of Broker-dealers (e.g., Definition, Registration, Post-Registration requirements)
     Regulations of Securities and Issuers
     Remedies and Administrative Provisions
Ethical practices and fiduciary obligations 40% 24
     communications with clients and prospects
     compensation
     client funds and securities
     conflicts of interest and other fiduciary issues