Series 63: Net Capital Requirements

Taken from our Series 63 Online Guide

Net Capital Requirements

Unlike the investment adviser they work for, investment adviser representatives do not have to prove that they can meet certain capital requirements to register. In other words, even if they have a negative net worth (owe more than they’re worth), an investment adviser can still register them as their representative.

+ Read More

More Series 63 Info

What are people saying?

Create an Account

Since you're reading about Series 63: Net Capital Requirements, you might also be interested in:

Series 53 - Time of Trade Disclosure

Series 65 - 10.12.1 When Financial Exploitation Is Suspected

Series 66 - Bond Certificates

Series 50 - Flipping

SIE - Small Issues: Regulation A

Series 24 - 3.6.9.2. Investment Company Tombstone Ads

Series 24 - Rule 15g-4 and Rule 15g-5 – Compensation

Series 24 - Price Declines and Restricted Margin Accounts

Series 82 - Contacting Former Customers After Moving to a New Firm

Series 24 - Selling Securities Before the Security Opens for Trading

Series 24 - 5.13. SEC Rules to Prevent Market Manipulation

Series 3 - 4.2.1.3.1.1. Delivery of Equity Options

Series 65 - Consolidation

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I followed the Solomon recipe for success and passed the Series 63 on my first attempt!!

Jaime Avery, John Hancock, Boston, MA

Big thanks to Jeremy Solomon and Solomon Exam Prep w/o whose practice exams & books the Series 79 and Series 63 would be a suicide mission or death by boredom!

Andrew Romans, Los Altos, CA

I took the Series 63 and passed on the 1st attempt. I have my degree in Exercise Science and had no previous finance training. I highly recommend the Solomon Exam Prep. Followed the recommended study plan and passed 8 practice tests. The practice exams prepared me for the actual test and I felt like the actual test was easier then the practice tests. Thank you Solomon!

Gary Kilanowski. Scottsdale, AZ

I just wanted to let you know I took the Series 65(85), Series 63(90) and Series 7(90) and am pleased as can be with your guides and practice materials. Not only do they contain the facts that are needed to pass the exams, but are actually presented in a format that you are still interested and awake by the time you get there! Really brilliant instructions.

Michael, CPA, Registered Representative

I passed the Series 63 on the first try. You now have a loyal customer in me. Using Solomon is probably the closest exam success guarantee you could possibly get. Thanks, your exam prep was worth every penny. I would recommend your exam prep to anyone and if I ever have a take another Series exam. I will only be using Solomon exam prep.

Joseph Boswell, FFA. Riverview, FL

Taking the 63 felt like a breeze, thanks to your exam prep materials. I didn't have to flag any questions for review, and was confident throughout that I'd get to see the screen say "Pass" when it was over.
Now 3-for-3 using Solomon to help me pass a licensing exam on the first attempt. The materials are easy to digest and comprehensive, and having the ability to take high-quality practice tests prepared me well for the real exams. Very grateful to my employer for using this content, and to the team at Solomon for making it so complete and easy to use.

Andrew Nerys, Square Inc. San Francisco, CA