Series 63 Communications Practice Questions
VII · Communication with customers and prospects · 12 of 60 scored questions
Ten Series 63 questions on communication with customers, untimed, with a worked answer after each one.
Or take the full Series 63 mock examA broker-dealer that has been a FINRA member for six years prepares a flyer about a corporate bond fund to mail to 2,000 retail prospects. Under FINRA Rule 2210, before the flyer is used it must be:
Communication with customers on the Series 63
Section VII (12 of the 60 scored questions) is the second-largest section: what an agent must disclose, what it must never say, and how written and electronic communications are handled.
- Outline
- VII: Required disclosures, misrepresenting registration, guarantees, customer agreements, advertising and social media
- Share of the exam
- VII Communication with customers and prospects: 12 of 60 scored questions (20%)
- Our drill
- 10 questions from 26 on this topic, untimed, a worked answer after each; one free attempt, unlimited with a pass
What to know
- No one may say or imply that the Administrator has approved a registration statement or passed on a person’s qualifications; saying that a firm or agent is registered is permitted.
- Guaranteeing a customer against loss or promising a specific result is prohibited.
- New account information must be documented and approved by the firm; a margin account needs a written margin agreement signed by the customer, and an options account needs principal approval, a signed options agreement and the Options Disclosure Document.
- Emails, social media posts, websites and advertising are communications: they must not be misleading, and the firm must supervise and keep them.
Test yourself on communication with customers
Ten Series 63 questions on communication with customers, untimed, with a worked answer after each one.
Or take the full Series 63 mock examCommon questions
How many communication with customers questions are on the Series 63?
Section VII is 12 of the 60 scored questions (20%).
Are these real Series 63 questions?
No. FINRA and NASAA do not release exam questions. These are original practice questions written to the official content outline, with a worked explanation and the rule behind every answer.
More Series 63 topics
Outline and exam facts checked November 2026: FINRA: Series 63 exam · NASAA Series 63 content outline · NASAA Series 63 study guide · NASAA: Exam FAQs.
Original independent practice questions written to the published NASAA content outline. Not affiliated with or endorsed by FINRA or NASAA.