FINRA Series 63 Tutoring

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Series 63 EXAM Overview

Individuals who want to sell or trade securities in most states must take the Series 63 exam covering:

  • Regulations of Investment Advisers, Adviser Representatives, Broker-Dealers, and Agents of Broker-Dealers (35%)
  • Regulations of Securities and Issuers / Remedies and Administrative Provisions (20%)
  • Communication with Customers and Prospects (20%)
  • Ethical Practices and Obligations (25%)

For a more detailed exploration of the concepts covered on the Series 63 exam, visit


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