This class was created by Brainscape user Adam Gravitt. Visit their profile to learn more about the creator.

Flashcard maker: Adam Gravitt

Decks in this class (8)

Ch. 1 Overview
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37  cards
Ch. 2 State Registration of Securities
The creator of this deck did not yet add a description for what is included in this deck.
55  cards
Ch. 3 State Regulations Governing Broker-Dealers and Agents
The creator of this deck did not yet add a description for what is included in this deck.
40  cards
Ch. 4 State and Federal Regulations Government IAs and IARs
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41  cards
Ch. 5 Investment Advisory Practices
A significant focus of the Series 63 Examination will be the relationship between advisory firms and their clients. This chapter reviews the fiduciary responsibilities of the IA and IAR and examines how the information obtained from clients may be used to determine the suitability of investment products and strategies.
21  cards
Ch. 6 Prohibited and Ethical Business Practices Under the USA
The underlying purpose of the Uniform Securities Act is to prevent fraud and to prohibit certain business practices from occurring in the securities industry.
38  cards
Ch. 7 Administration of the USA
The creator of this deck did not yet add a description for what is included in this deck.
35  cards
Practice Exam Explanations
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185  cards

More about
Series 63

  • Class purpose General learning

The creator of this class did not yet add a description for what is included in this class.

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