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
