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Series 63 Exam Audio Study Lessons

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Series 63 Exam Audio Study Lessons

$59.99

Series 63 Exam Audio Study Lessons

© Franz Amussen all rights reserved

Series 63 Exam lesson Introduction

About the Exam

Series 63 Exam lesson 1 Business Practices customer accounts part 1

Cash accounts and

Client information requirements

Margin accounts

Information requirements

Individual Accounts

Joint Accounts

Transfer on Death

Discretionary Authority

Suitability of investments

Wash trades

Solicited orders vs unsolicited orders

Suitability Rules

Customer communication of risks

Fiduciary Rules: Broker Dealer vs Investment Advisor

Settlement

Reg T

Short Sales

Comingling Stocks

Proprietary positions of Broker Dealer

Client Taking Possession of Securities

Series 63 Exam lesson 2 Business Practices customer accounts part 2

Antifraud Rules

Client Consent

Contract Requirements

Investment Advisory Agreement Requirements

Sharing of Gains and Losses

Brochure requirements

ADVA pt 2a pt2b

Custody of Client Assets

Series 63 Exam lesson 3 Business Practices customer accounts part 3

Borrowing Money from Customers

Loaning Money to Customers

Commissions’

Disclosure

Customer Complaints

Trading Practices

Tipper Tipee rules

Penalties for Insider Trading

Front Running

Initial Public Offerings

Advertising

Testimonials

Internet Advertising

Email Communication

Selling Away

Referral Fees

Series 63 Exam lesson 4 Business Practices

Uniform Prudent Investor Act

Diversification

Concentrated Portfolios

Prohibited Transactions

Block Trades

Conflicts of Interest

Not Not May Rules

Promissory Note Fraud

Anti-Money Laundering Rules

Suspicious Activity Reports

Privacy Statement

Orders and Order Confirmations

Do It Rule

Limit Order Display Rule

Payment for Order Flow

Series 63 Exam lesson 5 Registration & Licensing part 1

Blue Sky Laws

Conflicts between Fed and State

Definitions

Issuer

Non Issuer

Agents

Principal

Intuitional Buyers

Exclusions

De Minimis Rule

Exempt Securities

Isolated Transaction Loophole

Covered Securities

Qualified Purchaser

Series 63 Exam lesson 6 Registration & Licensing part 2

Financial Advisors

State Registration vs. Fed Registration

National Securities Improvement act of 1996

Investment Advisor Representative

Broker Dealer Agent

Exclusions

Exemptions

Fees

U4 Form

U5 Form

CRD

Series 63 Exam lesson 7 Registration & Licensing part 3

Registration Requirements

Net Capital

Individual vs. Entity

Surety Bond

Custody of Assets

Financial Report

Maintaining Registration

Record Keeping Requirements

Record Retention

Broker Dealer Records Act of 1934

Advertising

Email Correspondence

Electronic Record Keeping

Brochure Rule

Statute of Limitations

Suspensions

Withdrawing from the Business

Series 63 Exam lesson 8 Securities Registration

Definition of Security

Exempted Securities

Federal Covered Securities

Definition of Sale and Offer

Registration by Filing

Registration by Coordination

Registration by Qualification

Revocation of Registration

Hearing Requirements

Series 63 Exam lesson 9 Administrative Procedures

Penalties

Investigations

Non Public and Public Investigations

Grounds for Suspension or Revocation

Cease and Desist Orders

Criminal Liability

Civil Liability

Offer of Rescission

Radio and Newspaper Offers

Web Pages

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