Series 63 Outline

Series 63 Outline - Uniform State Law Examination (Series...

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Uniform State Law Examination (Series 63) Exam Specifications and Outline (Effective 1/1/2010) CONTENT AREA # of Items 1. State Securities Acts and related rules and regulations 36 (60%) A. Regulation of Investment Advisers, including state- registered and federal covered advisers 3 1. definitions 2. registration 3. post-registration requirements 4. termination B. Regulation of Investment Adviser Representatives 3 1. definition 2. registration C. Regulation of Broker-dealers (e.g., definition, registration, post-registration requirements) 12 1. definition 2. registration 3. post-registration requirements D. Regulation of Agents of Broker-dealers 6 1. definition 2. registration 3. termination E. Regulations of Securities and Issuers 6 1. definitions 2. registration 3. post-registration requirements 4. exemptions 5. state authority over federal covered securities F. Remedies and Administrative Provisions 6 1. authority of administrator
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This note was uploaded on 05/10/2010 for the course ECO 201 taught by Professor Mikeadkins during the Spring '08 term at KCTCS.

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Series 63 Outline - Uniform State Law Examination (Series...

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