Series 63: Post-Registration Requirements

Taken from our Series 63 Online Guide

Post-Registration Requirements

Once a security is issued, the issuer is subject to a minimal set of post-registration requirements. This is in large part due to the fact that a security, unlike an investment adviser or agent, cannot by itself make bad choices that harm invest

+ Read More

More Series 63 Info

What are people saying?

Create an Account

Since you're reading about Series 63: Post-Registration Requirements, you might also be interested in:

Series 66 - Exceptions for Canadian Broker-Dealers

Series 24 - Trade Confirmations and Completing a Transaction

Series 14 - 4.1.4. Notification of Net Capital Shortfall

Series 65 - Chapter Three: Investment Companies and Life Insurance Products

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Used Solomon Exam Prep for both my Series 6 and 63 exams. Passed both first try. The practice tests were invaluable. Thanks!

Alex T.

Bought the exam simulator for the 63 the day before the test and passed with a 90%. Questions in the simulator were MUCH more difficult than the actual test and I had no problem. Very helpful!

Mike, New York

I took the 6 and 63. I passed the 6 with a 90% and the 63 with an 87%. I used the test simulator for both and it was a tremendous help. I was actually studying using a different book and I wasn't getting enough info. The Test Simulator was key. It threw the questions at me in a different way which was similar to the actual test. I don't think I would have passed without it. THANKS!

Idette Campos, Licensed Personal Banker & Small Business Specialist, JP Morgan Chase, Chula Vista, CA

I passed the Series 63 yesterday. It's been over 30 years since I took the Bar Exam, so my knowledge of the Blue Sky laws was quite stale. Your "Pass the 63" training guide and exam simulator were godsends. The writing is remarkably clear and concise and delightfully engaging. They made even the most mind-numbingly complicated securities law topic understandable. Invaluable, thank you.

Paul T. Sheils, Newtown, PA

Passed the 63 with an 85%. The exam simulator was unbelievably helpful, but still make sure you understand the fundamental concepts and the questions are not always phrased the same way or in the same structure. It was significantly easier as there was some overlap with 79 materials, which I had also previously passed using Solomon materials.

Aaron Lau

Based on our results since adopting the Exam Prep Series 6 and Series 63 training program, I decided to try out the Exam Prep's pre-licensing program for the New York State Life, Accident and Health license exam. The material is comprehensive, clear and easy to understand, and I am getting positive feedback from my students. We're looking forward to increasing our first-time insurance exam pass rates with , like we did with securities licensing training.

Jim Sugrue, Development Manager, New York Life