Series 63
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Futures Prep
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Series 63 Courses - Click on Title to Enroll
$240 Series 7 & 63 Online
$172 Series 6 & 63 Online
$68.90 Series 63 Text Book
$110 Series 63 Online
$55.99 Series 63 Exam Prep Software
Series 63 Text Book
COURSE NAME:
Series 63 Text Book - Uniform Securities Agent Examination
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- View Sample Chapter
- View Exam Info
SHIPPING:
Within 5 - 7 days of purchase and included in price.
ABOUT THE SUBJECT MATTER EXPERT:
This Text Book is brought to you by The Securities Institute of America, Inc
Series 63 Online
COURSE NAME:
Series 63 - Uniform Securities Agent Examination
COURSE PRE-REQUISITE:
You must have a Series 6 or Series 7 before taking the Series 63 exam.
COURSE DESCRIPTION:
The Uniform Securities Agent State Law Examination was developed by the North American Securities Administrators Association, Inc. ("NASAA") in cooperation with representatives of the securities industry and industry associations. The examination, called the Series 63 exam, is designed to qualify candidates as securities agents. The examination entities candidates to sell securities and give investment advice in those states that require Series 63 registration.
The examination covers the principles of state securities regulation reflected in the Uniform Securities Act (with the amendments adopted by NASAA and rules prohibiting dishonest and unethical business practices). The examination is intended to provide a basis for state securities administrators to determine an applicant's knowledge and understanding of state law and regulations. This course will give you an understanding of the scope of the Federal Securities Laws, what fraudulent activities are and the provisions for violations.
Candidates should educate themselves about the Uniform Securities Act, as well as Statements of Policy and Model Rules adopted by NASAA, in preparation for the Series 63 exam. The Series 63 test covers topics including: State Registration Laws and Procedure, Penalties and Suspension, Lawful Practices, Definition of terms, Administrator Rules, Fraudulent Practices and Regulatory Oversights.
In addition, this course features a myriad of practice quizzes by lesson to sharpen test-taking skills, as well as feedback rationale for each question that clarifies and improves retention. The course also offers unlimited number of practice finals that simulate the actual NASD exam to help ensure exam readiness. Study emphasis should be placed on the quizzes and final exams: successful completion of the quizzes will be benchmarks indicating your progress in preparing for the license exam.
LEARNING OBJECTIVES:
• Learn the scope of the Uniform Securities Laws
• How does one register for securities and their denial, suspension and revocation
• Learn about the registration of persons in the securities industry
• Which practices are prohibited and considered fraudulent
• Understand the provisions for violations
TOPICS COVERED:
• Introduction
• LESSON 1: Scope Of The Act
• LESSON 2: Registration Of Securities
• LESSON 3: Registration Of Persons In The Securities Industry
• LESSON 4: Fraud And Prohibited Practices
• LESSON 5: Provisions For Violations
COURSE PRACTICE TESTS:
To help prepare you for the licensing examination, at the end of the course, you will have the option of taking an unlimited number of practice examinations, each consisting of 60 questions. You will be able to take the practice exams an unlimited number of times.
SEAT TIME:
This course takes approximately 15 hours to review all of the content.
ACCESS TO COURSE:
From the date of purchase, you will have access to the course for 120 days.
LICENSING EXAMINATION:
Below is information regarding the licensing examination administered by the NASD. For additional information please to to www.nasd.org.
COURSE PRE-REQUISITE:
You must have a Series 6 or Series 7 before taking the Series 63 exam.
EXAM TIME:
Applicants are allowed 75 minutes to complete the exam.
EXAM QUESTIONS:
The Series 63 examination will consist of 65 multiple-choice questions.
EXAM TOPICS:
- Definitions of Terms
- 20% - 10 questions
- Registration of Securities
- 10% - 5 questions
- Registration of person in the securities industry
- 15% - 7 questions
- Prohibited Practices
- 45% - 23 questions
- Penalties and general provisions
- 10% - 5 questions
- Total 100% - 50 questions
ABOUT THE SUBJECT MATTER EXPERT:
This course is created and brought to you by 360Training, a leading provider of accredited e-learning courses to working professionals through today's leading schools, associations and corporations. 360Training's high quality e-learning courses assist thousands of working professionals each month in a wide range of disciplines to succeed in today's marketplace, renew licenses, acquire certification or prepare for a new profession.
This course was created by the instructional design staff of 360Training in connection with field professionals that bring many years of experience in adult educational theory and distance learning technology to make the process of certification, compliance and training as convenient, engaging, and cost-effective as possible.
If you have any requests for technical or instructional support, please contact the 360Training Support Department located in the HELP section of your account profile. Technical support inquiries are handled immediately and instructional support questions are returned within 24 business hours with answers provided by a qualified professional in your field through our network of subject matter experts.
