Finra Uniform Securities Agent State Law {Series-63} Pdf Questions / Dumps
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Official Uniform Securities Agent State Law Exam Syllabus:
| Topics | Weight |
| Regulation of Investment Advisers Including State-Registered and Federal Covered Advisers | 5% |
| Regulation of Investment Adviser Representatives | 5% |
| Regulation of Broker-Dealers | 15% |
| Regulation of Agents of Broker-Dealers | 15% |
| Regulation of Securities and Issuers | 5% |
| Remedies and Administrative Provisions | 10% |
| Communication with Customers and Prospects | 20% |
| Ethical Practices and Obligations | 25% |
Official Uniform Securities Agent State Law Exam Details:
Exam Name: Uniform Securities Agent State Law Examination
Exam Duration: 75 Minutes
No. of Questions: 60
Passing Marks: 43 out of 60
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