Series 63: Post-Registration Requirements

Taken from our Series 63 Online Guide

Post-Registration Requirements

Once a security is issued, the issuer is subject to a minimal set of post-registration requirements. This is in large part due to the fact that a security, unlike an investment adviser or agent, cannot by itself make bad choices that harm investo

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Earlier this month I passed the Series 6 using the book and then for the Series 63, I read the book first (like always) and after that I was practicing all the time in your web page (about ten times by chapter, in order to master it). I studied the 63 in about 2 weeks and let me tell you that your website and the immediate feedback helped me a lot (I got an 85 in my test). Thank you very much!

Maricella Tenorio Bocangel, New York Life, New York, NY

I have used Solomon exam prep for the 6/63 and was able to pass on the first try. Now I’m taking the 65 and hope to do the same. I’ve used other recommended exam prep courses and came back to Solomon for the 65 because of ease of use. I would recommend Solomon to anyone that is in need of a securities exam. All the content is laid out in an easy to follow way.

Antonio Mendoza, State Farm. Santa Maria , CA.

I used Solomon Exam Prep for both the Series 7 and 63. Everyone learns differently, and they have resources for every type of learner. Their practice exams and quizzes push you to be prepared for the most difficult questions, enabling you to be over-prepared (better than the alternative!) for your exam. I received a 93% on the Series 7 and wish the regulators provided a score for the Series 63, but needless to say I passed. If I ever need to take a regulatory exam again, I will look to these guys first.

Suraj P, New York, NY

I used the Solomon Series 63 prep and passed with confidence. I highly recommend following the 10 day study plan.

Melissa

I just took my SIE, Series 6 and Series 63 exams — I took them all on the same day (would recommend breaking them into separate days if you can, but I had specific work reasons I had to get them done). In any event, I PASSED all 3 exams. I used the Solomon materials and was extremely satisfied. Great study materials, I couldn’t have done it without your help. Thank you!

Glenn M., Detroit, MI

Your Series 63 Audiobook was awesome! My company gave me a class and a textbook but it was boring, so I bought your audio book and, honestly, it helped me pass the test the first time. Now I have to take the Series 6 and I am going to get your Series 6 Audiobook and also the Exam Prep Series 6 iPhone app to practice on my iPod Touch. Thank you so much.

Dana Carbuccia, JP Morgan Chase