FINRA Series 63 – Uniform Securities Agent State Law Exam
Exam covering state securities regulations for investment professionals.
Why this certification matters
Required for all securities agents to operate legally in most states
Important Domains
Securities regulations, state laws, ethical practices
Prerequisites
Must be associated with a FINRA member firm
Ideal Candidate
Individuals looking to become securities agents in the United States
Ready to test your knowledge?
Try our free FINRA Series 63 – Uniform Securities Agent State Law Exam practice engine and identify weak areas.