Exam Structure and Content

Understanding the structure and content of the FINRA 63 exam is crucial for effective preparation.

Format

• Number of Questions: The exam consists of 65 multiple-choice questions.
• Time Limit: Candidates have 105 minutes to complete the exam.
• Passing Score: A score of 70% or higher is required to pass.

Content Breakdown

The FINRA 63 exam covers several key areas:

1. Understanding of Securities Products and Their Risks (15%)
• Different types of securities (stocks, bonds, mutual funds, etc.)
• Risks associated with various investment products
2. Regulatory Framework (25%)
• Overview of the SEC, FINRA, and state regulations
• Understanding of the Uniform Securities Act
3. Understanding of Ethical Practices (20%)
• Importance of ethical FINRA 63 standards in securities sales
• Fraud detection and prevention
4. Customer Accounts and Prohibited Activities (30%)
• Types of customer accounts
• Anti-money laundering regulations
• Prohibited activities in securities transactions
5. State Securities Regulations (10%)
• Specific state laws governing securities transactions
• Registration and filing requirements

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