Series 63: Suggested Notecards

Taken from our Series 63 Online Guide

Suggested Notecards

  • What is the basic definition of an agent?
  • What is the relationship between a broker-dealer and an agent?
  • What does “effect transactions” mean?
  • Who is generally excepted from the definition of an agent?
  • What are the two limits on employment or association of agents?
  • Who is responsible for the registration of agents?
  • What standard form is required to register an agent?
  • What are the net capital requirements for an agent?
  • What is the mo

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