Series 63: Suggested Notecards

Taken from our Series 63 Online Guide

Suggested Notecards

What legislation is the Series 63 heavily based upon?

Who was the Uniform Securities Act designed by?

Who uses the Uniform Securities Act?

What is the basic definition of an investment adviser?

What are the seven exceptions to the definition of “investment adviser?”

What are the two primary reasons for requiring investment adviser registration?

What are the two exceptions from state registration for investment advisers?

Advisers are not required to register if their only clients in a state

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