Series 63: Suggested Notecards

Taken from our Series 63 Online Guide

Suggested Notecards

Define issuer.

Define security.

Give two examples of a “non-security” investment.

What is a registration statement?

What is found on a registration statement?

What does “incorporation by reference” mean?

What is a subscription form?

What are the three types of securities registration?

Define registration by qualification.

Define registration by coordination.

Define registration by filing.

Define notice filing.

What are the requirements for a registration by qualification?

What is a stop o

Since you're reading about Series 63: Suggested Notecards, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 63
Please Enable Javascript
to view this content!