Series 63

 

Series 63 – (Known as the Uniform Securities Agent State Law Exam).   The Series 63 examination is required by most states for individuals who solicit orders for any type of security in that state.

 

  • Equity & Debt Securities

  • Pooled Investment Vehicles

  • Alternative Investments

  • Derivative Investments

  • Trading Securities

  • Types of Accounts

  • Taxation

  • Economic Factors & Business Information

  • Federal Securities Regulation

  • Uniform Securities Act

  • Federal & State Registration of Investment Advisers & Representatives

  • Clients, Portfolio Management Styles & Strategies

  • Quantitative Evaluation Measurements Styles & Risks

  • Retirement Plans

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