The Series 63 exam is administered by the Financial Industry Regulatory Authority (FINRA) and is required for individuals who wish to work as Series 63 Practice Exam securities agents. The exam focuses on state laws and regulations that govern the sale of securities and the conduct of securities professionals. It is crucial for anyone aiming to work in the securities industry because it tests knowledge on the legalities and ethical considerations that are essential for protecting investors and maintaining market integrity.

Why is it Important?

Passing the Series 63 exam is a prerequisite for obtaining Series 63 Practice Exam a state license to sell securities. Each state has its own regulations and requirements, but the Series 63 exam provides a uniform standard for assessing a candidate's understanding of state laws and regulations. This uniformity helps ensure that all securities professionals meet a baseline level of competency, which ultimately helps in securing investors.