Step-by-Step Guide to the Series 63 Practice Exam

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Registration Requirements: Knowledge of the registration processes for broker-dealers, agents, investment advisers, and their representatives.

Key Topics to Focus On for the Series 63 Exam

  1. Uniform Securities Act (USA)

The Uniform Securities Act is a foundational component of Series 63 Practice Exam  the Series 63 Exam. Candidates must be familiar with its provisions, including:

  • Registration Requirements: Knowledge of the registration processes for broker-dealers, agents, investment advisers, and their representatives.
  • Exemptions: Understanding various exemptions from registration and the conditions under which they apply.

Fraudulent Practices: Awareness of practices  Series 63 Practice Exam deemed fraudulent or deceptive under the Act.

  1. State Securities Laws