{[ promptMessage ]}

Bookmark it

{[ promptMessage ]}

Series 63 Outline

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

Info icon This preview shows pages 1–2. Sign up to view the full content.

View Full Document Right Arrow Icon
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
Image of page 1

Info icon This preview has intentionally blurred sections. Sign up to view the full version.

View Full Document Right Arrow Icon
Image of page 2
This is the end of the preview. Sign up to access the rest of the document.

{[ snackBarMessage ]}

What students are saying

  • Left Quote Icon

    As a current student on this bumpy collegiate pathway, I stumbled upon Course Hero, where I can find study resources for nearly all my courses, get online help from tutors 24/7, and even share my old projects, papers, and lecture notes with other students.

    Student Picture

    Kiran Temple University Fox School of Business ‘17, Course Hero Intern

  • Left Quote Icon

    I cannot even describe how much Course Hero helped me this summer. It’s truly become something I can always rely on and help me. In the end, I was not only able to survive summer classes, but I was able to thrive thanks to Course Hero.

    Student Picture

    Dana University of Pennsylvania ‘17, Course Hero Intern

  • Left Quote Icon

    The ability to access any university’s resources through Course Hero proved invaluable in my case. I was behind on Tulane coursework and actually used UCLA’s materials to help me move forward and get everything together on time.

    Student Picture

    Jill Tulane University ‘16, Course Hero Intern