Series 63: 3.1.3 Post-Registration Requirements

Taken from our Series 63 Online Guide

3.1.3 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 choices intended to harm investors.

Typica

+ Read More

More Series 63 Info

What are people saying?

Create an Account

Since you're reading about Series 63: 3.1.3 Post-Registration Requirements, you might also be interested in:

Series 7 - 12.6. Restrictions on the After-Market of a Public Offering

Series 50 - Order Period and Order Priorities

Series 27 - Margin Deficiencies and Margin Calls

Series 79 - 14.5. Consequences of Refinancing Early

Series 99 - Chapter 1 Practice Question Answers

Series 53 - Securities Exempt from Registration

Series 24 - 4.2.9.6. Crowdfunding: Regulation CF

Series 26 - Exercise

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

A more recent update after taking my Series 7 exam: Within one year of joining the financial industry, Solomon materials have gotten me a 100%, 4 for 4 pass rate with the SIE, S6, 63 and S7 all completed within 10 months. Once again, the materials and practice tests prepared me for the S7 exam better than I could've imagined. I will continue to refer people to Solomon, as the material, customer service, and whole experience has been unmatched.

Alex Coyne, Northwestern Mutual. Pensacola, FL

I previously failed my attempt at the series 63. Not by much. Literally one question. But in analyzing why I began to understand that I needed a more comprehensive approach to studying as well as more variety. I looked into a few options and came across Solomon Exam Prep. What I enjoyed and found the most useful were the video presentation and practice exams with immediate feedback. Those exams enabled me to learn with explanation every time I got a question wrong (or right on a guess). The materials are all beneficial and well worth it. I recently passed the series 63 with a score of 85 and much of that success lies upon the use of Solomon Prep. Thanks.

Anslem Gardner

I just passed the Series 63 and Series 6. I only have Solomon staff and exam prep material to thank. This has been a very challenging experience. Please do yourself a favor and buy Solomon Exam Prep materials. It's made me a believer and you will not regret it!

Dwight Lee, FFS, Los Angeles, CA, Series 6 and 63

Solomon has been hugely helpful to me. In 2022, they helped me prepare for the SIE, Series 63, and Series 79 exams, and I passed all 3 on the first try. I give huge credit to their focused materials and suggested timelines for keeping me on track!

William Windham, Solebury. Brooklyn, NY.

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 my Series 63 with an 82% on my first attempt! Practice tests were definitely very valuable and prepared me well!

Michael Bikas, PNC, Cincinnati, OH

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

Series 63: 3.1.3 Post-Registration Requirements

Taken from our Series 63 Online Guide

3.1.3 Post-Registration Requirements

Since you're reading about Series 63: 3.1.3 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 →