Series 63 Study Plan: 2-Week and 4-Week Options
- April 1, 2025
- Posted by: 'FINRA Exam Mastery'
- Category: Finance
🧾 Series 63 Study Plan: 2-Week and 4-Week Options
📘 Your Focused Path to Passing the Uniform Securities Agent State Law Exam
The Series 63 exam (Uniform Securities Agent State Law Exam) is required for individuals who want to sell securities within a state. It’s a short but high-stakes exam with 60 questions and a 70% passing score (43 correct). Below are two structured study plans to help you pass — whether you’re in a hurry (2-week crash) or prefer a steadier pace (4-week prep).
🗓️ Option 1: 2-Week Study Plan (Accelerated)
Best for those with prior exposure to securities law or studying full-time
| Day | Focus Area | Activities |
|---|---|---|
| 1 | Overview + Key Definitions | Read intro chapters, focus on agents, BDs, IAs, IARs, issuers |
| 2 | State Registration (Firms & Individuals) | Study registration requirements, exemptions, Form U4/U5 |
| 3 | Securities Registration & Exemptions | Focus on exempt securities vs exempt transactions |
| 4 | Business Practices & Recordkeeping | Learn advertising, books & records, custody rules |
| 5 | Administrative Provisions & Penalties | Understand cease-and-desist, civil/criminal penalties, rescission |
| 6 | Ethics & Prohibited Practices | Cover fiduciary duty, fraud, commingling, conflicts of interest |
| 7 | Mock Exam #1 + Review | Take a 60-question full-length timed test, analyze every question |
| 8 | Weak Areas Review | Reread missed topics from Mock #1 |
| 9 | Final Rule Review + Flashcards | Flashcards for exemptions, definitions, and penalties |
| 10 | Mock Exam #2 + Timing Practice | Track pacing, simulate test conditions |
| 11 | Final Cram + Ethics Refresher | Focus on fraud, suitability, and test traps |
| 12 | Exam Day or Final Practice + Review | Light review in AM, exam in PM |
🗓️ Option 2: 4-Week Study Plan (Balanced)
Ideal for working professionals or those studying part-time
| Week | Focus | Topics |
|---|---|---|
| Week 1 | Core Definitions & Structure | BD vs. IA vs. IAR vs. Agent; issuer vs. non-issuer |
| Week 2 | Registration & Exemptions | Firm registration, securities exemptions, transaction exemptions |
| Week 3 | Rules, Fraud, Ethics | Recordkeeping, custody, commingling, anti-fraud, disclosure obligations |
| Week 4 | Practice Exams + Review | Take 2 full-length practice tests, reinforce weak areas, ethics focus |
Recommended Weekly Time Commitment:
📚 5–8 hours/week (or ~1 hour/day)
📌 Essential Study Tips
- Use a flashcard deck for definitions and exemptions.
- Memorize the difference between exempt securities vs. exempt transactions.
- Focus hard on prohibited practices, as they make up a large portion of the exam.
- Practice timing — average 75 seconds per question.
- Review the 3-2-30 rule (3 years to sue, 2 years from discovery, 30-day rescission period).
🎓 Ready to Start Studying?
Access practice exams, flashcards, and structured review tools at:
👉 https://finra-exam-mastery.com
Plan with purpose. Practice with discipline. Pass with confidence.