Exam Domains

1 Regulation of Investment Advisers 24%

2 Regulation of Broker-Dealers 23%

3 Regulation of Securities and Issuers 21%

4 Remedies and Administrative Provisions 14%

5 Communication with Customers and Prospects 9%

6 Ethical Practices and Fiduciary Obligations 9%

Exam Details

Question TypesMultiple Choice

FormatLinear

Online ProctoringAvailable

ID RequirementsTwo forms of ID required: one government-issued photo ID (primary) and one secondary ID. Name on ID must match FINRA registration exactly.

RenewalRequired -- FINRA licenses remain active as long as registered with a member firm. Regulatory Element continuing education required within 120 days of 2-year anniversary, then every 3 years. Firm Element CE also required annually. If registration lapses, must retake exam after 2+ years of inactivity.

PrerequisitesMust be sponsored by a FINRA member firm or applicable state-registered investment adviser

Retake Policy30-day waiting period after first and second failed attempts. 180-day waiting period after third failed attempt and any subsequent failures. Full exam fee required for each retake.

LanguagesEnglish

Uniform Securities State Law Exam (Series 63) (Series 63) Exam Blueprint

Exam Domains

Exam Details

Official Study Resources