Uniform Securities Agent State Law Examination (Series 63): the practice module
Exam body: NASAA. Verified for Series 63 Test Specifications, effective June 12, 2023 (NASAA) on October 20, 2026.
What it covers
Covers: standard multiple-choice questions written to this exam’s outline, format and timing.
Does not cover: nothing else; the real exam is multiple-choice throughout.
Question format
- Every question has exactly 4 options.
- One correct answer per question.
- Not allowed as an option: “all of the above”, “none of the above”.
Exam mode
The real exam is 65 questions in 75 minutes. Exam mode keeps that pace for any number of questions.
Topics
The official topic list, as the exam body names it. Your questions must use these names; the coverage dashboard compares your set to each topic’s official weight.
| Topic | Weight | Subtopics |
|---|---|---|
| Regulations of Investment Advisers | 5% | definitions of Investment Advisers |
| Regulations of Investment Adviser Representatives | 5% | definition of an Investment Adviser Representative |
| Regulations of Broker-Dealers | 12% | definition of a Broker-Dealer · registration/post-registration requirements · Broker-Dealer Agent supervision |
| Regulations of Agents of Broker-Dealers | 13% | definition of an Agent of a Broker-Dealer · registration/post-registration |
| Regulations of Securities and Issuers | 9% | definition of securities and issuers · state registration/post-registration requirements · exemptions from registration · state enforcement and antifraud authority |
| Remedies and Administrative Provisions | 11% | authority of state securities Administrator · administrative actions · other penalties and liabilities |
| Communication with Customers and Prospects | 20% | required product disclosures · unlawful representations concerning broker-dealer agent registration · performance guarantees prohibition · customer agreements · correspondence and advertising |
| Ethical Practices and Obligations | 25% | compensation · customer funds and securities · conflicts of interest, criminal activities, and other ethics issues |
Trademarks
DoMcq is an independent practice tool. It is not affiliated with, endorsed by, sponsored by or approved by any exam body. Exam names are used only to say which exam a module is for. DoMcq holds no exam content: a module is the exam body's published topic names, the question format, the exam's timing, its published weights and a prompt, and every question in DoMcq is a student's own. The marks below belong to their owners. Trademarks
DoMcq is an independent practice tool and is not affiliated with, sponsored by or endorsed by the North American Securities Administrators Association, Inc. (NASAA); the names are used only to identify the exam. North American Securities Administrators Association™ is a trademark of the North American Securities Administrators Association, Inc. The topic names and weights are from NASAA's published test specifications; source: NASAA, https://www.nasaa.org.
Use it
Practice the questions you already have: a PDF or Word file of multiple-choice questions, from a class or a study group, becomes a timed practice test here, with your own AI doing the copying. Every step, with pictures: How to turn a PDF or Word file of multiple-choice questions into a timed practice test.
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