Uniform Securities Agent State Law Examination
- Product Code: series_63
- Exam Questions: 265
- Vendor: finra
$9.99
$12.99- Updated At: Nov 21, 2024
Uniform Securities Agent State Law Examination
The Uniform Securities Agent State Law Examination is a state licensing exam required for individuals seeking to become a securities sales agent.
Focus
The Uniform Securities Agent State Law Examination certification focuses on Securities laws and regulations at the state level.
Exam Duration
The Uniform Securities Agent State Law Examination exam duration is 150 minutes
Num of Question
The exam contains a total of 239
Exam Fee
The exam fee is $270-$375 (varies by state).
Exam Validity
The CCRN-Pediatric certification is valid for Varies by state, but typically 2-4 years.
Prior Certification
- Finra has no prerequisites for this exam, but prior experience in the industry can be beneficial.
Exam Format
The Uniform Securities Agent State Law Examination exam is a Multiple-choice questions.
Passing Conditions
To pass Uniform Securities Agent State Law Examination exam, applicants must achieve a minimum score of 70% or higher passing score required
Who Should Take
Individuals seeking to become securities sales agents, financial advisors, or investment bankers.
- Securities Sales Agent
- Financial Advisor
- Investment Banker
Prerequisites
Prior experience in the finance industry is not required, but recommended.
Or can substitute with certifications:
Certification Process
- Register for the exam through the state licensing authority or a Finra-approved vendor.
- Study for the exam using the materials provided by Finra or a prep course.
- Pass the Uniform Securities Agent State Law Examination with a score of 70% or higher.
- Maintain continuing education requirements to keep your license active.
Domains with Weights
- Securities Laws and Regulations (40%): This domain tests knowledge of state and federal securities laws, including the Securities Exchange Act of 1934, the Securities Act of 1933, and the Uniform Securities Act.
- Securities Industry Rules and Policies (30%): This domain tests knowledge of industry rules and policies, including those related to prospectuses, financial statements, and registration requirements.
- Financial Statement Analysis and Ethics (10%): This domain tests knowledge of financial statement analysis and industry ethics, including topics such as accounting principles and fraud detection.
- State Laws and Regulations (20%): This domain tests knowledge of state-specific securities laws and regulations, including those related to registration requirements and investor protection.
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