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Series 63

A short state law exam required in most US states before a registered representative may transact business with residents of that state.

State registration is separate from federal and SRO registration. The Series 63 covers the Uniform Securities Act model: registration of agents and firms, prohibited practices, unethical sales conduct, and the remedies available to state administrators.

It exists because blue-sky-laws survive alongside federal law. A representative fully qualified with finra still cannot call a customer in a state where they are not registered.

The exam is brief and conduct-focused, but the underlying rules are not trivial: state administrators bring their own enforcement actions, and a state bar or fine appears on the public record just as a federal one does.

Related: blue-sky-laws, series-7, series-66, registered-representative, finra-brokercheck

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