This Series 63 study guide includes practice test questions. Our study guide contains easy-to-read essential summaries that highlight the key areas of the Series 63 test. Mometrix's Series 63 test study guide reviews the most important components of the Series 63 exam.
The Series 63 Exam is extremely challenging, and thorough test preparation is essential for success. Series 63 Exam Secrets Study Guide is the ideal prep solution for anyone who wants to pass the Series 63.
Not only does it provide a comprehensive guide to the Series 63 Exam as a whole, it also provides practice test questions as well as detailed explanations of each answer.
Series 63 Exam Secrets Study Guide includes:
- An examination of registration of persons
- A breakdown of regulations
- An in-depth look at remedies and administrative provisions
- A guide to communications with clients and prospects
- An extensive overview of compensation
- A detailed examination of client funds and securities
- An analysis of conflicts of interest and other fiduciary issues
- Comprehensive practice questions with detailed answer explanations
It's filled with the critical information you'll need in order to do well on the test: the concepts, procedures, principles, and vocabulary that the North American Securities Administrators Association (NASAA) expects you to have mastered before sitting for the exam.
The Registration of Persons section covers:
- Legal person or legal entity
- Regulated entities
- Persons required to be registered
The Regulations section covers:
- Investment advisers
- Investment adviser representatives
- Broker-dealers
- Agents of broker-dealers
- Securities and issuers
The Remedies and Administrative Provisions section covers:
- Administrator's authority
- Establishing rules
- Registration review process
The Communications with Clients and Prospects section covers:
- Material facts in securities transactions
- Client-specific approach to recommendations
- Guarantees
The Compensation section covers:
- Sharing fees or commissions
- Allowable forms of compensation
- Charging performance-based fees
The Client Funds and Securities section covers:
- Market value when providing material facts
- Prohibited acts
- Investment advisory contract standards
The Conflicts of Interest and Other Fiduciary Issues section covers:
- Fraud regulations
- Client confidentiality
- Cybersecurity
These sections are full of specific and detailed information that will be key to passing the Series 63 Exam. Concepts and principles aren't simply named or described in passing, but are explained in detail. The guide is laid out in a logical and organized fashion so that one section naturally flows from the one preceding it. Because it's written with an eye for both technical accuracy and accessibility, you will not have to worry about getting lost in dense academic language.
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