Series 63 Exam Prep Course

The complete Series 63 prep course: 32 lessons covering all 8 NASAA subject areas, organized around the current NASAA Series 63 blueprint into 4 modules — Securities and Issuers (9%), Regulated Persons (35%), Customer Conduct, Communications, and Ethics (45%), and Remedies and Administrative Provisions (11%). Includes 400+ content blocks and 200 embedded concept checks. Free, ad-free, and built to be the deepest free Series 63 option in the market.

32
Lessons
462
Minutes

Ready to test your knowledge?

Practice Tests & Q-Bank

What's Included — Free

4-Case Scenario Simulator Step into the state administrator's role across 4 branching enforcement cases — choose the action, the statute, and the remedy, and see the consequences of getting it wrong.
8 Interactive Learning Tools Drag-and-drop violation sorters, an administrative-action timeline, a five-filter agent walkthrough, and a rescission-offer calculator with a live worked example — embedded directly in lessons.
200 Concept Checks 6+ embedded quiz questions per lesson testing NASAA-specific scenarios — registration timing, exemption traps, fraud elements, remedy math — with detailed explanations.
24 Step-by-Step Answer Guides One per chapter, breaking down its question type — which test to apply, which numbers to check — so every fact pattern has a clear, repeatable approach.
Statute-Level NASAA Detail §401 definitions, the §402 exemption architecture, §411 judicial review, Form U4/U5 timing, the $10,000/$35,000 financial tiers — the specific facts the exam targets.
40+ Exam Tips & Common Traps Callouts highlighting NASAA's favorite traps: the 30-day clocks, effective-vs-filed registration, the solely-incidental test, the snowbird exclusion, and more.
QBank-Linked Lessons Every lesson maps to your Series 63 practice exam questions by sub-topic — finish a lesson and immediately drill what you just learned.

About the Series 63 Exam

The Series 63 (Uniform Securities Agent State Law Examination) is developed by NASAA and administered by FINRA. It's the state-law license required of broker-dealer agents in most states, testing the Uniform Securities Act and NASAA model rules. There is no prerequisite exam and no firm sponsorship requirement — most candidates pair it with the SIE and a FINRA top-off exam like the Series 7.

65 Questions
60 scored + 5 unscored
75 Minutes
Exam time limit
72% to Pass
43 of 60 scored questions
$147 Fee
NASAA exam fee

How to prepare:

  1. Learn the material — Work through this free course starting with Regulated Persons (35% of exam), then the conduct arc — Ethical Practices (25%) and Customer Communications (20%) — before Remedies (11%) and Securities & Issuers (9%).
  2. Use the interactive tools — Run the "You Are the Administrator" scenario simulator, the violation sorters, and the rescission-offer calculator embedded throughout the course.
  3. Memorize the numbers — The five U4/U5 timing numbers, the 30th-day effective date, the $10,000/$35,000 financial tiers, and the statute-of-limitations clocks decide dozens of questions. Each chapter's answer guide packages them for you.
  4. Test your readiness — Take timed practice exams under real conditions. Aim for 80%+ consistently before scheduling.

35% of exam ~21 questions · 16 lessons
Broker-dealer definition and exclusions
15 min
Broker-dealer registration requirements
19 min
Broker-dealer supervision and conduct
14 min
Broker-dealers chapter recap
4 min
Agent definition and exclusions
20 min
Agent registration and Form U4
17 min
Agent qualification exams and conduct
16 min
Agents chapter recap
4 min
Investment adviser definition and exclusions
15 min
State registration scope and notice filing
12 min
Form ADV and registration mechanics
15 min
Investment advisers chapter recap
3 min
IAR definition and jurisdictional rules
13 min
IAR qualifying exams and Form U4
16 min
IAR conduct and continuing education
16 min
Investment adviser representatives chapter recap
4 min

45% of exam ~27 questions · 8 lessons
Required disclosures and prohibited representations
14 min
Account opening and customer information
16 min
Communications, recordkeeping, and privacy
17 min
Communications with customers chapter recap
4 min
Standards of care and Code of Ethics
17 min
Prohibited practices and market conduct
32 min
Custody, vulnerable adults, and cybersecurity
19 min
Ethical practices chapter recap
4 min

11% of exam ~7 questions · 4 lessons
Administrator powers and jurisdiction
29 min
Civil and criminal penalties
27 min
Buyer's rescission and statutes of limitations
17 min
Remedies and administrative provisions chapter recap
7 min

Frequently Asked Questions

Is this Series 63 course really free?

Yes — all 32 lessons are free with no account required. The course includes a 4-case administrator scenario simulator, 8 interactive tools, 200 concept checks, 24 step-by-step answer guides, and 40+ exam tips at no cost. Practice exams are available separately for $2 each.

What makes this different from Kaplan, Achievable, or STC?

This course is completely free and includes tools paid courses don't offer — a branching enforcement simulator where you play the state administrator, drag-and-drop violation sorters, and a live rescission-offer calculator. Kaplan, STC, and Achievable all charge for their Series 63 courses. We charge $0, and our practice exams are $2 each vs. $100+ elsewhere.

Do I need a sponsor or another exam first?

No — the Series 63 has no prerequisite exam and no firm sponsorship requirement. Most candidates pair it with the SIE and a FINRA top-off exam like the Series 7 for full agent registration. If you'll also act as an investment adviser representative, the Series 66 combines the 63 and 65 into one exam.

Does this cover everything on the Series 63 exam?

Yes. The course covers all NASAA topic areas — registration of broker-dealers, agents, investment advisers, and IARs; securities and exemptions; ethical practices and communications; and administrative provisions and remedies — mapped to the official NASAA content outline (June 2023 test specifications).

Is it up to date for 2026?

Yes. The course reflects the June 2023 NASAA test specifications, Regulation Best Interest, the SEC Marketing Rule, and the NASAA vulnerable-adult and cybersecurity model rules. Content is reviewed and updated regularly.