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 66 - 3.1. Mutual Funds

Series 65 - Measuring Mutual Fund Performance Against Benchmarks

Series 28 - SIPC Assessment Amounts

Series 66 - Transfer Rights

Series 51 - Municipal Securities Representative (Series 52)

Series 27 - Exercise

Series 24 - Joint Accounts

Series 65 - Consolidation

Series 79 - Price/Earnings to Growth Ratio

Series 24 - Supervisory Control Procedures

Series 65 - Limited Partnerships

Series 22 - Forwarding Securities Information and Proxy Materials

Series 24 - 1.1.1.2.3. Fingerprint Cards

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I just wanted to let you know I took the Series 65(85), Series 63(90) and Series 7(90) and am pleased as can be with your guides and practice materials. Not only do they contain the facts that are needed to pass the exams, but are actually presented in a format that you are still interested and awake by the time you get there! Really brilliant instructions.

Michael, CPA, Registered Representative

I passed my Series 6 and 63 [on the] first try. Test simulator helped a lot. Thanks Solomon Exam Prep.

Vaishali Lad, PNC Investments, Toledo, OH

Ok guys, there was ONE problem with the Series 63 study material that I purchased from you. The problem is that I should have purchased it sooner!!

Keith Kozubal, Englewood, CO

All of your products are AMAZING! I passed my 6 & 63 with Solomon by my side every step of the way. Thanks again!

Stephen Snyder

Your Series 63 Audiobook was awesome! My company gave me a class and a textbook but it was boring, so I bought your audio book and, honestly, it helped me pass the test the first time. Now I have to take the Series 6 and I am going to get your Series 6 Audiobook and also the Exam Prep Series 6 iPhone app to practice on my iPod Touch. Thank you so much.

Dana Carbuccia, JP Morgan Chase

I ordered the Series 63 material on 10/4 and sat for my exam today 10/15 and I passed....the exams are more challenging then the other vendors I used. This cleary helped me pass the exam. I'm about to order the 65 material

David Lewis, White Plains, 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 →