Series 63: Exemptions To Issuer And Security Registration

Taken from our Series 63 Online Guide

Exemptions to Issuer and Security Registration

When it comes to exemptions to registration requirements for securities and issuers, the Uniform Securities Act (and in turn, the Series 63 exam) continues to be as much about the exemptions from the rules as the rules themselves. In this case, ev

+ Read More

More Series 63 Info

What are people saying?

Create an Account

Since you're reading about Series 63: Exemptions To Issuer And Security Registration, you might also be interested in:

Series 99 - 2.5.6 Inherited and Gifted Securities

Series 7 - 8.2.10 Variable Annuity Regulations

Series 79 - A1.8. Taxation of Securities

Series 24 - 5.5.2.3.2. Two-Dollar Brokers

Series 51 - Availability and Review of Official Statements (SEC Rule 15c2-12)

Series 51 - Good Delivery

SIE - Types of Mutual Funds

Series 50 - Municipal Advisor Advertisements

Series 14 - 2.3.3.1. Floor Brokers

Series 66 - 9.1.9 Broker-Dealers Operating Within A Bank Setting

Series 50 - Pension Plan Accounting

Series 53 - Firm Quotes

Series 27 - Exercise

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Your study guides and exam simulator are great tools. I passed the Series 63 exam with an 80%.

Gregory Parker

I passed! Thanks to your materials, they really did help. I scored a 78% which is actually above the simulated exams I took. I think my highest score on the simulated exams was a 75%. I have used a competitor's materials for all previous exams I've taken successfully, however, for the 63 specifically, I found your materials to cover different topics that the competitor missed (or perhaps I missed while reviewing their materials). Thank you so much for the support and the great product. I will definitely pass your site onto friends going through the licensing process. Thanks again!

Katie Mueller, Chase Client Service Specialist, Chicago, IL

Solomon Exam Prep offers everything you need to succeed in passing the 6 & 63 exams. The textbooks were easy to follow and study by. The online practice exams really were instrumental and my success. Thank you.

Fran Piegari, AllState, Dallas, TX

I used Solomon Exam Prep for both the Series 7 and 63. Everyone learns differently, and they have resources for every type of learner. Their practice exams and quizzes push you to be prepared for the most difficult questions, enabling you to be over-prepared (better than the alternative!) for your exam. I received a 93% on the Series 7 and wish the regulators provided a score for the Series 63, but needless to say I passed. If I ever need to take a regulatory exam again, I will look to these guys first.

Suraj P, New York, NY

I really would like to thank Solomon Exam Prep for helping me pass my Series 63 exam this past Friday! The website is easy to understand and I passed on the first time using their study guide!

Stephanie Oliver, MSRS, Minneapolis, MN

I just passed the Series 63 after failed in the first attempt as of January. I had studied with another vendor and after some research, I decided to buy Solomon material. I felt very comfortable with the material since English is my second language. And due to the type of the exam, this was very important. It took me time to make the decision for the 2nd attempt but Karen was important to support and she convinced me. I felt very comfortable till question number 20, after that a bit stressful but be sure that you will know the subjects. Thanks Solomon!!!

Ariel Barroso, MCM. Miami, FL