Series 63: Suggested Notecards

Taken from our Series 63 Online Guide

Suggested Notecards

The Securities Act of 1933 was created to provide reliable information to investors about the securities they invest in. In the Act, how is this goal attained?

How many days is the cooling-off period and what is permitted during the cooling-off period?

Name five major exemptions to the Securities Act of 1933.

What part of the s

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