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

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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 a job which required me to pass the SIE, Series 6, Series 63 and Series 26. Understandably this was a pretty tall task, but the Solomon Exam Prep materials made it incredibly easy. I appreciated how well all of the material was laid out for all four tests. I stuck to the study plans that were included in the resources and passed all four tests on the first try. This was a stressful time in my life, but Solomon got me through it! I would highly recommend Solomon to anyone who is looking to become licensed. Part of my new job is managing other licensed individuals and I recently hired two employees who are now required to be licensed. I reached out to Solomon for a demo of their Admin Portal and it is wonderfully comprehensive. It allows me to track my employees progress without having to reach out and be too invasive. Excellent all around!

Stephen Carbaugh, StanCorp Equities, Inc. Portland, OR

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Kara S, CLS, Carrollton, TX

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David Latham, Butler Snow Advisory Services, Ridgeland, MS

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Edward Giaco, TaxCheck USA Investments Broadview Heights, OH