Certification: Series 63, Uniform Securities Agent State Law Examination (Series)

750 First Street NE, Suite 990 Washington, DC 20002

The Uniform Securities Agent State Law Examination was developed by NASAA in cooperation with representatives of the securities industry and industry associations. The examination, called the Series 63 exam, is designed to qualify candidates as securities agents. The examination covers the principles of state securities regulation reflected in the Uniform Securities Act (with the amendments adopted by NASAA and rules prohibiting dishonest and unethical business practices). The examination is intended to provide a basis for state securities administrators to determine an applicant's knowledge and understanding of state law and regulations.
More information about this certification

More than two years of education or training after high school required?
Yes
Oral or Written Exam Required?
Yes

Third Party Exam Center

The Uniform Securities Agent Law Examination consists of 65 multiple-choice questions covering the topics listed in the study guide.

Core

  1. The certification does not have a minimum education level or has an education level below a two-year Associates of Arts or Associates of Sciences degree and the certification does not have a minimum requirement for work experience or requires two or less years of work experience.
  2. The certification has an education level of an Associates of Arts or Associates of Sciences degree or higher, but has a work experience requirement of less than 2 years of work experience.
  3. The certification has a work experience requirement of more than 2 years but does not require a two-year Associates of Arts or Associates of Sciences degree.

  • This certification is related to military occupational specialties.