Series 63: 3.1.4. Exemptions To Issuer And Security Registration

Taken from our Series 63 Online Guide

3.1.4. Exemptions to Issuer and Security Registration

When it comes to exemptions to registration requirements for securities and issuers, the Uniform Securities Act continues to be as much about the exemptions from the rules as the rules themselves. Sometimes, even the exemptions have exemptions. I

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Passed the 63 with an 85%. The exam simulator was unbelievably helpful, but still make sure you understand the fundamental concepts and the questions are not always phrased the same way or in the same structure. It was significantly easier as there was some overlap with 79 materials, which I had also previously passed using Solomon materials.

Aaron Lau

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Toyin Daranijoh, Primerica, Kalamazoo, MI

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