Structure of the FINRA 63 Exam

Format

The FINRA 63 exam consists of 60 multiple-choice questions, and you will have 105 minutes to complete it. To pass the exam, you must score at least 70%.

Topics Covered

The exam focuses on the following key areas:

1. Understanding of State Regulations

• Overview of state regulatory agencies
• Registration requirements for agents and securities

• Types of securities (stocks, bonds, mutual funds)
• Risks associated with different investment products

• Understanding AML laws
• Identifying suspicious activities

• Responsibilities FINRA 63 to clients
• Prohibited practices in the securities industry

• Types of accounts (individual, joint, retirement)
• Customer suitability and investment objectives

• Regulatory requirements for advertisements
• Guidelines for communications

• Recognizing and avoiding fraud
• Ethical responsibilities of a securities agent

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