Content Breakdown
The FINRA 63 exam covers several key areas:
- Understanding of Securities Products and Their Risks (15%)
- Different types of FINRA 63securities (stocks, bonds, mutual funds, etc.)
- Risks associated with various investment products
- Regulatory Framework (25%)
- Overview of the SEC, FINRA, and state regulations
- Understanding of the Uniform Securities Act
- Understanding of Ethical Practices (20%)
- Importance of ethical standards in securities sales
- Fraud detection and prevention
- Customer Accounts and Prohibited Activities (30%)
- Types of customer accounts
- Anti-money laundering regulations
- Prohibited activities in securities transactions
- State Securities Regulations (10%)
- Specific state laws governing securities transactions
- Registration and filing requirements
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