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Author:Series 63 Exam Secrets Test Prep Staff
Publication Name:Series 63 Exam Secrets Study Guide : Series 63 Test Review for the Uniform Securities Agent State Law Examination / Blue Sky Law Exam
Format:Trade Paperback
Language:English
Publisher:Mometrix Media LLC
Publication Year:2015
Type:Textbook
This Series 63 study guide includes practice test questions. Our study guide contains easy-to-read essential summaries that highlight the key areas of the Series 63 test. Mometrix’s Series 63 test study guide reviews the most important components of the Series 63 exam. The Series 63 Exam is extremely challenging, and thorough test preparation is essential for success. Series 63 Exam Secrets Study Guide is the ideal prep solution for anyone who wants to pass the Series 63. Not only does it provide a comprehensive guide to the Series 63 Exam as a whole, it also provides practice test questions as well as detailed explanations of each answer. Series 63 Exam Secrets Study Guide includes:An examination of registration of personsA breakdown of regulationsAn in-depth look at remedies and administrative provisionsA guide to communications with clients and prospectsAn extensive overview of compensationA detailed examination of client funds and securitiesAn analysis of conflicts of interest and other fiduciary issuesComprehensive practice questions with detailed answer explanations It’s filled with the critical information you’ll need in order to do well on the test: the concepts, procedures, principles, and vocabulary that the North American Securities Administrators Association (NASAA) expects you to have mastered before sitting for the exam. The Registration of Persons section covers:Legal person or legal entityRegulated entitiesPersons required to be registered The Regulations section covers:Investment advisersInvestment adviser representativesBroker-dealersAgents of broker-dealersSecurities and issuers The Remedies and Administrative Provisions section covers:Administrator’s authorityEstablishing rulesRegistration review process The Communications with Clients and Prospects section covers:Material facts in securities transactionsClient-specific approach to recommendationsGuarantees The Compensation section covers:Sharing fees or commissionsAllowable forms of compensationCharging performance-based fees The Client Funds and Securities section covers:Market value when providing material factsProhibited actsInvestment advisory contract standards The Conflicts of Interest and Other Fiduciary Issues section covers:Fraud regulationsClient confidentialityCybersecurity These sections are full of specific and detailed information that will be key to passing the Series 63 Exam. Concepts and principles aren’t simply named or described in passing, but are explained in detail. The guide is laid out in a logical and organized fashion so that one section naturally flows from the one preceding it. Because it’s written with an eye for both technical accuracy and accessibility, you will not have to worry about getting lost in dense academic language.Series 63 test prep book that provides a comprehensive review for the Series 63 test.Series 63 exam prep that will help you elevate your Series 63 test score.Series 63 practice test questions and much more…
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