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What is the Series 63 Exam?

The Series 63, or the Uniform Securities State Law Examination, is a licensing exam for securities agents or brokers who wish to conduct business within a specific state. series 63 dump sheet Passing this exam is a requirement in most U.S. states. It is administered by the Financial Industry Regulatory Authority (FINRA) on behalf of NASAA.

While the Series 63 exam doesn’t require candidates to delve into in-depth investment strategies or complex financial products, it focuses on ethical standards, fiduciary duties, and specific state laws. Essentially, the exam ensures that securities professionals series 63 dump sheet  understand the legal framework governing securities sales and transactions.