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Series 63 Online Exam Prep Course Agenda

Online Course: ID# 1005867

Agenda

About the Series 63 Exam

The Series 63 exam is broken down into two parts. These topics include:
  • State Securities Acts and related rules and regulations
  • Ethical practices and fiduciary obligations
What’s Covered By This Course

State Securities Acts and related rules and regulations
  • Regulation of Investment Advisers, including state registered and federal covered advisers
  • Regulation of Investment Adviser Representatives
  • Regulation of Broker-dealers (e.g., definition, registration, post-registration requirements)
  • Regulation of Agents of Broker-dealers
  • Regulations of Securities and Issuers
  • Remedies and Administrative Provisions
Ethical practices and fiduciary obligations
  • Communications with clients and prospects
  • Compensation
  • Client funds and securities
  • Conflicts of interest and other fiduciary issues
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Series 63 Online Exam Prep Course
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$115.00
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