Tour of the Series 63 Content



Taking the Series 63?   Complete Listing of Series 63 content


State Securities Acts and related rules and regulations 36 (60%)

Regulation of Investment Advisers
Regulation of Investment Adviser Representatives 
Regulation of Broker-dealers
Regulations of Securities and Issuers
Remedies and Administrative Provisions


Ethical practices and fiduciary obligations  24 (40%)

Communications with clients and prospects
Client funds and securities 
Conflicts of interest and fiduciary issues



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Series 63 Content
Complete listing of Series 63 content

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