Series 63

This 4.9 hour audio recording of "The Solomon Exam Prep Guide to the Series 63" will give you the content of this invaluable book in an audio format.

Track	Title	Length
1	Note from Publisher	0:60
2	Copyright	0:07
3	Introduction	14:44
4	Investment Adviser Definition	15:03
5	Exemptions from Registration	14:04
6	Termination of an Investment Adviser Registration	18:08
7	Chapter 2 Regulation of Broker Dealers and Agents	17:27
8	Net Capital Requirements	18:16
9	Limits on Employment or Association	6:10
10	Chapter 3 Securities, Issuers, and Administrative Provisions	16:07
11	Registration by Filing	12:27
12	Section 402b Exemptions	17:13
13	Practical Application	16:12
14	Chapter 4 Communications with Clients and Prospects	15:55
15	Code of Ethics and Access Persons	20:32
16	Chapter 5 Ethical Practices and Obligations	14:16
17	Custody	14:60
18	Suitability	17:45
19	Margin and Lending Specific Rules	16:05
20	Outside Business Activities	14:21
21	Chapter 6 Federal Securities Acts	15:36

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TESTIMONIALS

What are people saying?

I passed! Thanks to your materials, they really did help. I scored a 78% which is actually above the simulated exams I took. I think my highest score on the simulated exams was a 75%. I have used a competitor's materials for all previous exams I've taken successfully, however, for the 63 specifically, I found your materials to cover different topics that the competitor missed (or perhaps I missed while reviewing their materials). Thank you so much for the support and the great product. I will definitely pass your site onto friends going through the licensing process. Thanks again!

Katie Mueller, Chase Client Service Specialist, Chicago, IL

I failed my first test on the Series 63 because I used different study material from another company. I then bought the Solomon's Series 63 "On-line Practice Exams" and "Pass the 63" book and I just passed my Series 63 exam yesterday and I'm so happy!! Thanks so much Solomon!!!

Sherry Housfeld

Passed my Series 63 with an 82% on my first attempt! Practice tests were definitely very valuable and prepared me well!

Michael Bikas, PNC, Cincinnati, OH

I passed my Series 63 today with an 85% and Series 6 two weeks back with an 80%. I was very nervous, but studying was made easy with Solomon Exam Prep; their simple Plain English explanations helped fight that legalese on the Series 63 especially. I totally owe this to the Solomon team, their awesome question bank, and friendly staff. "Ask the Professor" is prompt in answering all your queries. I'm definitely recommending their program to my employer.

Priya R, PA

The material was great and helped me pass the 63. I also used it to study for the 7 and it helped me immensely as well. Thank you!

Brian Lang, Denver, CO

Thanks to Solomon I was able to pass the SIE, Series 7, and Series 63, great study material if you put the hours in!

Xavier Mata, Cabrera Capital Markets. Chicago, IL