Agenda

About the Series 63 Exam

The Series 63 exam is broken down into two parts. These topics include:

• State Securities Acts and related rules and regulations
• Ethical practices and fiduciary obligations

What’s Covered By This Course

State Securities Acts and related rules and regulations

• Regulation of Investment Advisers, including state registered and federal covered advisers
• Regulation of Investment Adviser Representatives
• Regulation of Broker-dealers (e.g., definition, registration, post-registration requirements)
• Regulation of Agents of Broker-dealers
• Regulations of Securities and Issuers
• Remedies and Administrative Provisions

Ethical practices and fiduciary obligations

• Communications with clients and prospects
• Compensation
• Client funds and securities
• Conflicts of interest and other fiduciary issues