Series 63: Registration Of Securities

Taken from our Series 63 Online Guide

Registration of Securities

Just like investment advisers, agents, and the other professionals discussed so far, securities must be registered with the state securities administrator and a registration fee must be paid. And as with these other parties, securities are potentially exemp

+ Read More

More Series 63 Info

What are people saying?

Create an Account

Since you're reading about Series 63: Registration Of Securities, you might also be interested in:

Series 50 - Written Post-Issuance Policies

Series 52 - 9.2.10. Closing a Secondary Market Trading Account

Series 7 - 17.5.3.2 Reporting to the National Securities Clearing Corporation

SIE - 8.4.5. Handling Corporate Actions

Series 54 - 2.2.4. Obligations of Solicitor Municipal Advisors

Series 24 - Financial Industry Regulatory Authority (FINRA)

Series 24 - Closing Out a Position: Buy-ins and Sellouts

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Within a few months, I passed the SIE, Series 7, 63, 65, & 79 exams all on the first try using Solomon Exam Prep. This material will prepare you for the actual exam. I will say in many instances the practice exams are more difficult than the actual exam. Solomon and the various tracking metrics will more than help you prepare for the rigors of exam day. I highly recommend the practice exams and ability to dive back in to review weak areas. I will continue to use their products and services in the future.

Andrew Ezzat, Bank of America. Tampa, FL.

I ordered the Series 63 material on 10/4 and sat for my exam today 10/15 and I passed....the exams are more challenging then the other vendors I used. This cleary helped me pass the exam. I'm about to order the 65 material

David Lewis, White Plains, NY

Thank you Solomon! I was able to pass the SIE, 7, 63 and 24 in a relatively short time period. The practice exams with answers really helped and when I had a question for The Professor, I always received a quick and accurate response. Solomon is definitely the way to go.

Seth Schader, CCO, Mercer Island, WA

I passed the Series 7 on my first attempt. In fact, five years ago, I also passed both the Series 6 and 63 on my first attempt. In all cases, I used Solomon Exam Prep materials which make sometimes 'dry' topics much more readable. Also, having the option to take an unlimited number of practice tests and receive immediate, thorough feedback was invaluable. I highly recommend them!

Blaine Burnett

Nailed my Series 63!! Solomon, y'all rock! Passed this exam after failing twice with another vendor. So folks, use Solomon and PASS!

Sri Murali, Regions Investment Solutions, Baton Rouge, LA

The manuals make the process of wading through all the material much more enjoyable. Ordinarily, this stuff would not be entertaining to study, but even a serious person like me could be heard laughing out loud occasionally. The on-line testing was very convenient, and being able to refer back to the missed questions was very helpful. Best of all, I passed both the 6 and 63 on the first attempt!

Blaine Burnett, Cascade Financial Advocates, Portland, OR