Series 63 — Uniform Securities Agent State Law Exam

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Study Guide
ONLINE STUDY GUIDE

If you want to study for your NASAA Series 63 exam as efficiently as possible, "The Solomon Exam Prep Guide to the Series 63" is for you! At less than 200 pages, the study guide cuts to the chase, providing contextual background and real-world tips to help you memorize and apply the rules on the exam. Written by Ken Clark (who scored a 100% on his Series 63 exam!), "The Solomon Exam Prep Guide to the Series 63," comes with two (2) complete practice exams, short quizzes after each chapter and a helpful glossary. 

To view a sample click here.

If you want to study for your NASAA Series 63 exam as efficiently as possible, "The Solomon Exam Prep Guide to the Series 63" is for you! At less than 200 pages, the study guide cuts to the chase, providing contextual background and real-world tips to help you memorize and apply the rules on the exam. Written by Ken Clark (who scored a 100% on his Series 63 exam!), "The Solomon Exam Prep Guide to the Series 63," comes with two (2) complete practice exams, short quizzes after each chapter and a helpful glossary.

The exam study guide is available as an online digital manual via your online student dashboard (requires Internet connection/not downloadableor as a hard copy textbook (shipping & handling will apply).

Please note: the digital guide and hard copy guide contain the same content, however, this image is a PDF of the hard copy guide and the digital guide is not a PDF and it does not look exactly the same as this PDF of the hard copy.  If you want this exact look, you must purchase the hard copy upgrade.

To view a sample click here.
Exam Simulator
EXAM SIMULATOR

Designed to work with the Solomon Series 63 Study Guide, the Solomon Series 63 Exam Simulator offers thousands of practice questions so you can hone, track and assess your knowledge. Once you’ve read the Study Guide, the Exam Simulator allows you to use and practice what you’ve learned. 

Sample a free demo of our Series 63 Online Exam Simulator here!

Designed to work with the Solomon Series 63 Study Guide, the Solomon Series 63 Exam Simulator offers thousands of practice questions so you can hone, track and assess your knowledge. Once you’ve read the Study Guide, the Exam Simulator allows you to use and practice what you’ve learned.

The 180-day subscription to the Solomon Series 63 Exam Simulator offers:

• Over 1,000 original Series 63 practice questions with robust rationales which clearly explain why a specific answer is correct

• Questions updated continually to keep up with regulatory and industry changes

• Self-assessment tools that helps you identify areas that require more study

• An unlimited number of 20-question quizzes corresponding to the chapters of our Exam Study Guide

• An unlimited number of 65-question untimed practice exams with immediate answer feedback

• An unlimited number of 65-question timed practice exams

Exam simulator subscriptions are limited to one individual.

Sample a free demo of our Series 63 Online Exam Simulator here!
Video Lectures
VIDEO LECTURE

Do you have to take the NASAA Series 63 Exam? Solomon Exam Prep’s president Jeremy Solomon will take you through the most heavily tested topics including regulation of investment advisers, post-registration requirements, regulation of broker-dealers, remedies and administrative provisions, ethical practices, fiduciary obligations, and much more!

View a sample of the Video Lecture here.

Do you have to take the NASAA Series 63 Exam? Solomon Exam Prep’s president Jeremy Solomon will take you through the most heavily tested topics including regulation of investment advisers, post-registration requirements, regulation of broker-dealers, remedies and administrative provisions, ethical practices, fiduciary obligations, and much more!

This 3-hour video lecture goes over basic knowledge you will encounter on the exam. The videos are viewable on-demand for 180 days.

The Series 63 Video Lecture is viewable through our website and can be accessed via computer or mobile device. 

View a sample of the Video Lecture here.

Audiobook
AUDIOBOOK

This five-hour audio recording of "The Solomon Exam Prep Guide to the Series 63" will give you the content – the introduction and all six chapters – of this invaluable book in an audio format. After hearing the study guide's real world contextual tips and rule explanations, you will be even more prepared to conquer your Series 63 exam!

To listen to a sample click here.

This five-hour audio recording of "The Solomon Exam Prep Guide to the Series 63" will give you the content – the introduction and all six chapters – of this invaluable book in an audio format. After hearing the study guide's real world contextual tips and rule explanations, you will be even more prepared to conquer your Series 63 exam!

The Series 63 audiobook is a great companion to the Series 63 Online Exam Simulator, the industry-leading online testing program that ensures you are learning and retaining the information. 

The Series 63 ("Solomon") audiobook is available in the following formats:

  • Streaming Audio + Instant MP3 download


The MP3 files are compatible with all major MP3 players, including but not limited to: iPods, iTunes, Zune, Sony, MP3 CD Players, MP3 Walkman, Windows Media Player and QuickTime.

(Note for iPod, iPhone, and iPad users: MP3 files must be downloaded to a computer and added to iTunes before being transferred to your device.)

To listen to a sample click here.
Flashcards
FLASHCARDS

Learn key definitions and concepts on the FINRA Series 63 exam with the digital Solomon Series 63 flashcards! The perfect supplement to our industry-leading Series 63 study materials, the Solomon Series 63 flashcard pack will help you learn foundational securities industry definitions and concepts with ease.

Learn key definitions and concepts on the FINRA Series 63 exam with Solomon Exam Prep Series 63 exam digital flashcards! The perfect supplement to our industry-leading Series 63 study materials, the Solomon Series 63 flashcard pack will help you learn foundational securities industry definitions and concepts with ease.

  • Over 150 digital definition cards featuring clear, easy-to-understand definitions
  • Over 450 true-false cards that feature important Series 63 exam facts
  • All cards can be organized by chapter, so you can test yourself, as you move through the Solomon study materials
  • Rating feature allows user to customize deck for targeted learning
  • Turn on text-to-speech and listen while you learn

Live Class
LIVE CLASS

The Solomon Series 63 Live Web Class gives you the opportunity to learn from and interact with an instructor in real time, from the comfort of your own home or office. In this 2-day intensive course, a Solomon content expert leads you step-by-step through the Series 63 concepts that are most valuable in helping you pass your exam.


The Solomon Series 63 Live Web Class gives you the opportunity to learn from and interact with an instructor in real time, from the comfort of your own home or office. In this 2-day intensive course, a Solomon content expert leads you step-by-step through the Series 63 concepts that are most valuable in helping you pass your exam.

The Solomon Series 63 Live Web Class covers these important exam topics:

  • Federal securities laws
  • Registration of broker-dealers and agents
  • Regulation of securities and issuers, Canadian broker-dealers, registration of investment advisers and investment adviser representatives
  • Registration of federal-covered-advisers, registration of persons
  • Registration of securities, exempt securities
  • Remedies and administrative provisions, offers and sales
  • Recordkeeping, net worth/capital requirements, business practices
  • Ethical practices and fiduciary obligations
  • Compensation, custody, prudent investor standards, suitability
  • Conflicts of interest and other fiduciary issues

WHAT CUSTOMERS SAY ABOUT SOLOMON'S UNIFORM SECURITIES AGENT STATE LAW EXAM

Earlier this month I passed the Series 6 using the book and then for the Series 63, I read the book first (like always) and after that I was practicing all the time in your web page (about ten times by chapter, in order to master it). I studied the 63 in about 2 weeks and let me tell you that your website and the immediate feedback helped me a lot (I got an 85 in my test). Thank you very much!

Maricella Tenorio Bocangel, New York Life, New York, NY

ADDITIONAL FEATURES
PASS PROBABILITY™
Pass Probability™ is Solomon Exam Prep’s industry-leading AI technology that measures your readiness to pass your securities exam – based on the performance of thousands of Solomon students.

Once you take five Solomon practice exams in the Exam Simulator, the Solomon Pass Probability tool calculates the probability that you will pass your test. You will receive a score between 0% – 100%.
STRENGTH BREAKDOWNS
Refine your Exam Simulator practice with detailed exam results. Solomon reports analyze which topics you’re strong in and which require more study so that you can focus your attention on the subjects that need your attention the most.
ASK THE PROFESSOR
Solomon students can click the Ask the Professor button and get:

  • A speedy response
  • Direct access to Solomon professors
  • Personalized help

"The Ask the Professor and live chat features were excellent!"

Carol G, New York
STUDY SCHEDULES
Interactive online study schedules help you master the exam study material with maximum efficiency. Choose a study schedule based on your timeline and expected exam date. You can edit, delete, and check off completed items or create custom items. You’ll find detailed instructions for what to do every step of the way.
INTERACTIVE REVIEW
This Exam Simulator feature makes it easy to review the questions you’ve gotten wrong on quizzes and exams. The interactive review is untimed, ungraded and you receive immediate feedback on your answers.
FREQUENTLY ASKED QUESTIONS ABOUT THE SERIES 63

How long should I prepare for this exam?

We recommend studying 30-40 hours over a ten-day period.

How do I schedule my Series 63 Exam?

A firm will file an electronic Form U4 for a candidate, or an individual will file a Form U10 and pay the registration fee to FINRA. Upon registering, a candidate will have 120 days to schedule the exam. You can find more details here.

What does a Series 63 license allow me to do?

A Series 63 license qualifies you as a securities agent. It covers the principles of state securities regulation. 

How many questions must I answer correctly to pass the exam?

In order to pass the Series 63 exam, you must correctly answer at least 43 of the 60 scored questions (72%).

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SERIES 63 PRODUCT SAMPLES

STUDY GUIDE

Guide Sample

EXAM SIMULATOR

Number of Questions10
Time DurationUntimed
Answer Feedback
Instant validation and rationale
Percentage required to pass72%

AUDIOBOOK

Thank you for listening to our audio samples. Purchase this audiobook to unlock all of the tracks.
Track Title Bookmark Length Download
4 Chapter 2 0:00 43:21

VIDEO LECTURE

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FLASHCARDS

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