Do you want to PASS the Series 63 exam? If so, THIS is a great video for you.
Let us know if you have a topic you would like to see Suzy cover in the comments to this video!
This Questions of the Week video covers an ENTIRE SERIES 63 FINAL EXAM! That is 60 questions for you! You must feel confident in the topics presented to PASS this exam.
To check out the Series 63 course:
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On of the hardest parts about the Series 63 exam is that it expects you to know a lot of concepts! It takes time and effort to pass this exam. We believe in you and know that YOU GOT THIS!
Suzy also has courses for those of you studying for your SIE, Series 6, 7, 65 and 66 exams!
Check out all our offerings here:
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Let's see what Ali had to say about Suzy's Series 63 course:
“Thank you Suzy, I passed my 3rd exam with your help. Series 63 was not easy but hard work does pay off !”
Please let us know how we can help you on your journey in the securities industry. Just ask in the comments.
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Contents
0:00 - Intro
0:29 - 1 – Agent business card reqmts.
1:17 - 2 –IARs under USA
2:24 - 3 – Personal interest over client’s
2:46 - 4 – B/D seeking state registration must disclose…
3:14 - 5 – Which is allowed?
3:42 - 6 – Unlawful statements
4:35 - 7 – brochure supplement
5:29 - 8 – Administrator governing authority
5:50 - 9 – Powers of the Administrator
6:28 - 10 – Advertisement rules under Advisers Act Marketing Rule
7:29 - 11 – Does prior conviction impact agents moving states?
8:54 - 12 – Regulation A offerings
9:07 - 13 – Stages of money laundering
9:20 - 14 – Which provision of the USA preempts federal securities laws?
9:51 - 15 – Which is an advertisement under the Advisers Act Marketing Rule?
10:30 - 16 – Reasons for the Administrator to revoke, suspend or deny an agents registration
11:14 - 17 – Determining net worth for the accredited investor calculation under Reg D
11:50 - 18 – When may an investment adviser charge a commission and fee?
12:09 - 19 – What may one do while awaiting registration to become effective?
12:50 - 20 – May an agent promise profit over client cost basis when selling a security?
13:19 - 21 – When may an investment adviser have custody of client money and securities?
13:51 - 22 – Registration of an IA automatically registers firm partners/officers/directors as…?
14:25 - 23 – First page firm brochure requirements
15:02 - 24 – Wrap fees
15:22 - 25 – When can agents solicit out of state business?
16:06 - 26 – How long to accept an offer of rescission?
16:32 - 27 – A person buying/selling securities for their own account is a(n)…?
17:00 - 28 – Prohibited action multiple choice
17:27 - 29 – Currency transaction reports are filed with ___
17:46 - 30 – Advertisements under the marketing rule
18:33 - 31 – Wash trades
19:03 - 32 –Supervised person(s) of an investment advisory firm
19:25 - 33 – What is required when custody is part of an investment advisory contract?
20:00 - 34 – When must a broker-dealer register in a state?
20:38 - 35 – Non-exempt under state law multiple choice
21:09 - 36 – Which are not subject to Regulation S-P?
21:43 - 37 – When re-entering industry after not completing CE one must ___
22:46 - 38 – Which is not considered a security under the Uniform Securities Act?
23:04 - 39 – Broker-dealer must keep what records?
23:24 - 40 – How long does one have to file a civil suit if sold an improperly registered security?
24:27 - 41 – An agent not associated with a broker-dealer or issuers registration is ____
24:46 - 42 – Agent registration: which is true?
25:19 - 43 – Broker-dealers: which is false?
25:36 - 44 – Under the Uniform Securities Act an agent’s registration is effective when representing ___
26:18 - 45 – Under the IA Act of 1940 a form letter sent to 100 clients would be considered ___
26:36 - 46 – Dishonest/unethical business practices
27:10 - 47 – Which is an advertisement under the Investment Advisers Act of 1940?
27:54 - 48 – Difference in state and federal laws regarding custody of client $ and securities
29:20 - 49 – When must an individual selling securities be registered as an agent?
30:13 - 50 – Can a federally registered IA include performance info in an advertisement?
30:39 - 51 – When can an investment adviser trade based upon inside information?
31:05 - 52 – Which is false regarding sharing of nonpublic information?
31:40 - 53 – Where can the public find info regarding investment advisers?
32:22 - 54 –What is true in an offer of rescission?
33:03 - 55 – IAR CE requirement
33:34 - 56 – Initial privacy notice ONLY must be given to ___ ?
34:06 - 57 -Which is not required to be kept by broker-dealers?
34:27 - 58 – When a broker-dealer firm is reorganized, the successor firm must __
34:55 - 59 – Retail communications
35:29 - 60 – Individual who passed exam and submitted application may ___
35:49 - END OF EXAM
37:00 – Thanks for watching!
