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 - 4.4.5. Capital Appreciation vs. Income Management

Series 14 - 4.1. Capital Requirements

Series 65 - Net Capital Requirements of Broker-Dealers

Series 26 - Settlement of Mutual Fund Share Transactions

Series 66 - Regulation of Agents of Broker-Dealers and Agents of Issuers

Series 65 - Sidebar

SIE - Low-Risk DPPs

Series 7 - 8.2.12 Suitability of Annuities

Series 79 - Chapter Four

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Solomon was my ticket to a passing grade the first time on both exams [Series 79 and Series 63]!

Laura Bumgarner, Houston, Texas

Just passed the S63 exam on the second try. The only reason I failed the first time is that I didn't take enough timed practice exams. My advice is to take practice exams until you are blue in the face. I did that this time around and aced the exam. I've now passed both S7 (first try) and S63 with Solomon. Worth every penny.

D. G. Swanagain, New York Life, New York, NY

You guys rock!

Scott MacDonald, Lee Munder Capital Group, Boston, MA

I passed the Series 7 on my first attempt. In fact, five years ago, I also passed both the Series 6 and 63 on my first attempt. In all cases, I used Solomon Exam Prep materials which make sometimes 'dry' topics much more readable. Also, having the option to take an unlimited number of practice tests and receive immediate, thorough feedback was invaluable. I highly recommend them!

Blaine Burnett

I passed the 82 and 63 within a few months coming from no financial background. The exam simulator is fantastic and has a large pool of questions.

Taylor Hawks, Maraboyina Capital. Dallas, TX

Solomon Exam Prep did it again! I passed the Series 63! Now, I'm 3 for 3 - SIE, S6 & S63 - all first try- thanks to the amazing study material! The practice exams are phenomenal!

Candace Chavez, Cetera Investment Services. Wimberley, TX.