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

+ 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 22 - 2.2.1.2. Recovery Period

SIE - 9.2.13. No Pumping and Dumping

Series 28 - Municipal Securities

Series 66 - 5.1.1.2.3 Commissions and Fees

Series 26 - Part C: Other Information

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Between September 18 and December 3, I took exams for the Series 62, 63, 6 and 24. I studied for everything with Solomon, and passed them all on the first try. Solomon’s interactive/Ask the Professor teaching method was extremely helpful in grasping the necessary concepts. What a relief to be done. Thanks, Karen!

Karen H, Dalkeith Group, High Falls, NY

I passed the Series 63 today with a score of 88%. I spent 3 hours every day for a week to study. I would highly recommend Solomon to anyone. Thank you Solomon. I couldn't do it without you.

John Nguyen, Transamerica Financial Advisors, Santa Ana, CA

Solomon Exam Prep helped me pass the Series SIE, 63, 65 and 7 exams. The study materials are easy to understand and practice exams were very helpful, especially with the passing probability to gauge my exam readiness. The instructor for all web classes were really worth it as I could get directly answers for my questions. I couldn't have pass these exams without Solomon's help. Thank you!

Thank you guys for the outstanding prep materials. I took the Series 79 and 63 in the same week and passed both the first time with great scores. I could not have been better prepared. Your exam simulator is especially awesome! Nothing on either exam surprised after.

Richard Walters, Virginia Beach, VA

I was well prepared from using Solomon. Such much so that I finished early enough to review the questions and my answers, and determine my estimated score. Thanks! Great platform. Highly recommend using Solomon.

Max Thomas. Fort Lauderdale, FL

I passed the 63 and 65 the practice questions are much more difficult than the actual exam. I would recommend this program to anyone who needs to be challenged and wants to pass the first time out.

David Lewis, Northwestern Mutual, New York, NY

Solomon Exam Prep has moved to Pass Perfect! Contact support to move your account →

Series 63: Post-Registration Requirements

Taken from our Series 63 Online Guide

Post-Registration Requirements

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

Ask the Professor

Thanks for being part of the Solomon community!

All securities exam prep and IAR CE courses must now be purchased
at Pass Perfect. Go now →