Series 63: C.3 Presenting Performance Information

Taken from our Series 63 Online Guide

C.3 Presenting Performance Information

In addition to the seven prohibitions discussed previously, the Marketing Rule also presents specific guidance for presenting performance information in advertisements. Because of the particular risk of performance information being misleading, all statistics and information related to the performance of an investment adviser must follow these requirements.

• Gross performance. Gross performance results are the earnings of a portfolio before fees or expenses have been deducted. Net performance is the earnings after deducting these costs. The gross earnings of a portfolio may not be displayed in advertisements unless net performance is displayed alongside with equal prominence.
• Commission approval. Investment advisers cannot in any way indicate advertisements have been approved or review

+ Read More

More Series 63 Info

What are people saying?

Create an Account

Since you're reading about Series 63: C.3 Presenting Performance Information, you might also be interested in:

Series 6 - 4.1.1.2. Common Stock Shareholder Rights

Series 22 - 2.2.2.2. Percentage Method

Series 66 - Tactical Asset Allocation

Series 79 - Debt-to-Capital Ratio

Series 54 - MFPs and MAPs

Series 24 - 2.7.1.7. Withdrawal of Equity Capital

Series 24 - 1.2.3.2.1. General Securities Principal (Series 24)

Series 3 - 2.2.2. Federal Funds Futures

Series 50 - Type of Issuance and Source of Funds

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

The Solomon Exam Prep materials (book, audio tapes and exam simulator) prepared us well for both the Series 79 and 63. It was a very organized way to deal with the test taking tasks.

Jim Murphy, Belden Hill Partners, New York, NY

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

After a lengthy absence from the securities industry, I again needed to get licensed. With the great help of Solomon, I did the SIE, Series 7, Series 63, and Series 82, in just over 5 months. The materials are comprehensive and I would recommend reading it all at least twice. Have realistic goals and meet them. Don't take too many days off as the quicker you learn the material the less likely your are to forget the initial stuff. I found the "Ask the Professor" feature to be particularly helpful (and responsive!). I hope I don't need further exams any time soon but, if I do, I will use Solomon.

Shawn Sullivan Charlestowne Securities Darien, CT

I was well prepared from using Solomon. Such much so that I finished early enough to review the questions and my answers, and determine my estimated score. Thanks! Great platform. Highly recommend using Solomon.

Max Thomas. Fort Lauderdale, FL

Excellent study materials for the Series 63 exam. The practice exams were extremely helpful in my preparation and the exam simulator was a lifesaver as usual in solidifying what I learned (tip: read the answer explanations even if you got the question right). Highly recommend Solomon for the Series 63 exam.

Andrew L.

Hard to believe but I never learned any English and with the help of Solomon exam prep I was able to pass the 82 and 63.

I’m so thankful to God.

Shulem Kahana, Eastern Union Funding, New York, NY