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Series 63 – Uniform Securities Agent State Law VIP Practice Exam

Series 63 – Uniform Securities Agent State Law Exam — The Series 63 exam is administered by FINRA on behalf of NASAA (North American Securities Administrators Association); it consists of 60 scored questions (plus 5 unscored pilot questions) with a 75-minute time limit, and candidates must answer at least 43 of the 60 scored questions correctly (72%) to pass. It tests knowledge of the Uniform Securities Act and state securities regulations required for registration as a securities agent.

56
Questions
75m
Time Limit
72.00%
To Pass
Question 1 of 56👑 VIP

Maria is a registered representative at a broker-dealer in State A. She regularly solicits customers in State B by phone to purchase securities listed on the NYSE. Under the Uniform Securities Act, which of the following best describes Maria's registration obligations?

Questions 2–56 and full explanations are VIP-exclusive.