2 classes with 4 hours of instruction, a complete, live lecture Series 63 course.
Topics include:
Ethical Practices and Fiduciary Obligations:
Registration and Exemptions:
- Registration procedures for broker-dealers, agents, and investment advisors, as well as exemptions from registration requirements.
- Definitions of professional titles, duties, and roles
- Registration process, post-registration requirements, and termination protocol
- Regulation of Investment Adviser Representatives (IARs)
- Securities, agents, broker-dealers, and investment advisors
- Fraud, misrepresentation, dishonesty, manipulative, and deceptive business practices
- The powers of the State Securities Administrator
- Registration of securities, exempt issuers, and exempt transactions
Exam Format:
The Series 63 exam consists of 60 multiple-choice questions, with 5 unscored questions, and candidates are given 75 minutes to complete it.
Passing Score:
To pass, candidates must correctly answer at least 43 of the 60 scored questions (approximately 72%).
Class Schedule:
- Monday May 12th, 7-9 PM EST
- Monday May 19th7, 7-9 PM EST
Sign up now with a Series 63 expert and seasoned industry professional today!
