Series 63: Chapter 9:

Taken from our Series 63 Online Guide

Chapter 9:

Client Funds and Securities

In the age of Enron, Bernie Madoff, and Ponzi schemes disguised as hedge funds, regulators are deadly serious about how you handle your clients’ assets. In fact, regulators draw some very distinct lines in the sand when it comes to who handles cli

+ Read More

More Series 63 Info

What are people saying?

Create an Account

Since you're reading about Series 63: Chapter 9: , you might also be interested in:

Series 66 - Unsecured Bonds

Series 82 - 3.6.1. Lifetime and Six-, Five-, Four-, and Three-Year Records

Series 66 - 5.1.1 Capital Gains and Losses

Series 66 - Factors Affecting How a Bond Is Valued

Series 66 - 7.7 Regulation of Investment Advisers, Including State-Registered and Federal Covered Advisers

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I passed the Series 63 yesterday. It's been over 30 years since I took the Bar Exam, so my knowledge of the Blue Sky laws was quite stale. Your "Pass the 63" training guide and exam simulator were godsends. The writing is remarkably clear and concise and delightfully engaging. They made even the most mind-numbingly complicated securities law topic understandable. Invaluable, thank you.

Paul T. Sheils, Newtown, PA

A more recent update after taking my Series 7 exam: Within one year of joining the financial industry, Solomon materials have gotten me a 100%, 4 for 4 pass rate with the SIE, S6, 63 and S7 all completed within 10 months. Once again, the materials and practice tests prepared me for the S7 exam better than I could've imagined. I will continue to refer people to Solomon, as the material, customer service, and whole experience has been unmatched.

Alex Coyne, Northwestern Mutual. Pensacola, FL

Your books and online exam simulators were an excellent study mix: I passed the Series 63 and the Series 79 exams!

Bob Newkirk, Moesman Advisors LLC, Denver, CO

I passed the 82 and 63 within a few months coming from no financial background. The exam simulator is fantastic and has a large pool of questions.

Taylor Hawks, Maraboyina Capital. Dallas, TX

I passed the Series 63 today with a score of 88%. I spent 3 hours every day for a week to study. I would highly recommend Solomon to anyone. Thank you Solomon. I couldn't do it without you.

John Nguyen, Transamerica Financial Advisors, Santa Ana, CA

I used Solomon Exam prep for my series 63 and passed the first time with flying colors. I did have a couple questions on the real exam that seemed almost verbatim from their practice tests. The audio books were really helpful since I'm on the go a lot. Her voice was a little obnoxious, but helpful. There was a great mix of test questions for all the practice tests so I wasn't just memorizing the questions, but rather I was memorizing material. I'd use them again for any future test.

Krina