when it comes to practice exams. In this Series 63 Practice Exam blog, we will explore the best techniques for mastering the Series 63 practice exam and achieving success in the FINRA Series-63 exam.
Understanding the Series-63 Exam
Before diving into practice exam techniques, it’s important to understand what the Series-63 exam entails. The Series-63 is administered by the Financial Industry Series 63 Practice Exam Regulatory Authority (FINRA) and is required by most states for individuals looking to become securities agents. The exam focuses on state securities regulations and laws, ensuring that agents are knowledgeable about the rules and procedures necessary to conduct securities transactions legally and ethically.
Key Areas Covered in the Series-63 Exam
The Series-63 exam primarily covers three areas:
- State Securities Acts and Related Rules and Regulations: This section focuses on the Uniform Securities Act, state laws, and regulations governing the sale of securities. It includes topics such as registration requirements, exempt transactions, and anti-fraud provisions.
