FINRA 63 Exam: Understanding the Passing Score

by FINRA Exam at September 23, 2024

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Structure of the FINRA 63 Exam

Format

The FINRA 63 exam consists of 60 multiple-choice questions, and you will have 105 minutes to complete it. To pass the exam, you must score at least 70%.

Topics Covered

The exam focuses on the following key areas:

  1. Understanding of State Regulations
    • Overview of state regulatory agencies
    • Registration requirements for agents and securities
  2. Securities Products and Their Risks
    • Types of securities (stocks, bonds, mutual funds)
    • Risks associated with different investment products
  3. Anti-Money Laundering (AML) Regulations
    • Understanding AML laws
    • Identifying suspicious activities
  4. Ethics and Professional Conduct
    • Responsibilities to clients
    • Prohibited practices in the securities industry
  5. Understanding Customer Accounts
    • Types of accounts (individual, joint, retirement)
    • Customer suitability and investment objectives
  6. Communications with Customers
    • Regulatory requirements for advertisements
    • Guidelines for communications
  7. Fraudulent and Unethical Practices
    • Recognizing and avoiding fraud
    • Ethical responsibilities of a securities agent

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