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About the Series 63

 

About the Series 63

 

Uniform Securities Act

 

This is the NASAA exam required by most broker-dealers for their registered representatives.

 

The exam covers:

 

bulletFraudulent and other prohibited business practices
bulletRegistration of investment advisers, investment adviser representatives, broker-dealers and agents
bulletRegistration and notice filing procedures for securities
bulletGeneral provisions

 

The test is made up of 65 multiple-choice questions of which 5 are experimental. Each student will be given a total of 75 minutes for the exam.  

 

Series 63 Breakdown # of Questions
Registration of Persons 18
Securities 15
Business Practices 21
Administrative Provisions and Other Remedies 6
Total questions 60


 

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Empire Stockbroker Training Institute

 

  

 

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Long Island Institute of Finance has combined with ESTI to provide the most exciting, complete and affordable online Series 7 and 63 testing programs available.  Our unique randomization program provides virtually an unlimited number of tests.

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