Series 63: 3.1.3. Post-Registration Requirements

Taken from our Series 63 Online Guide

3.1.3. 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 choices intended to harm investors.

Typically, an issuer of

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I took the 6 and 63. I passed the 6 with a 90% and the 63 with an 87%. I used the test simulator for both and it was a tremendous help. I was actually studying using a different book and I wasn't getting enough info. The Test Simulator was key. It threw the questions at me in a different way which was similar to the actual test. I don't think I would have passed without it. THANKS!

Idette Campos, Licensed Personal Banker & Small Business Specialist, JP Morgan Chase, Chula Vista, CA

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Matthew Bristow, Managing Director, ClearRidge Capital, Tulsa, Oklahoma