Series 63 Flashcards

What is Series 63?

The Series 63 exam is a preliminary exam that qualifies candidates to work in the securities industries. Administered by FINRA, Series 63 is a North American Securities Administrators Association (NASAA) exam. On successful completion of the Series 63 exam, candidates will be eligible to take Series 7 and Series 6 licensure exams. Broker-dealers must have completed all three exams to sell securities at state level.

Preparing for the Series 63 Exam

The Series 63 exam takes 75 minutes and consists of 60 scored multiple-choice questions. With a passing rate of 72%, heavy emphasis is placed on state and federal securities acts and rules, whilst the remainder covers business obligations and ethical practice. Information about fees and dates and best preparations can be found on the website.

Learning Series 63

The Series 63 exam covers many topics including registration of persons, business practices, and fiduciary responsibility with client funds and securities. However, Series 63 is about knowing the rules, including their applications and exceptions, inside out. With a huge volume of detailed information to memorize, Brainscape makes THE ideal supplementary tool.

There are thousands of notecards on this page prepared by like-minded students covering the entire Series 63 syllabus. Alternatively, you’ll see the KM Series 63 course prepared in partnership with industry leader, Knopman Marx, at the top of the page. This comprehensive course will allow you to retain key rules you must know to pass your Series 63. There’s also our expertly curated Series 7 course to check out, too!

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To get started, just click on ‘make flashcards’ at the top of the page or a deck below. Good Luck!