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 investo

+ 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 65 - 4.2.2.2. Hedging with Covered Calls and Puts to Increase Income

Series 99 - 3.2.4.4 Custody Department

Series 6 - 7.1.1.1. Market Risk

Series 24 - 5.9. Trade Reporting and Dissemination

Series 24 - 3.1.6. Financial Exploitation of Vulnerable Adults

Series 66 - Dollar-Weighted Return

Series 28 - A Brief Digression on Equity and an Example

Series 82 - Customer Trade Confirmation and Completing a Transaction

Series 7 - 3.5.2.1.4 Other Protective Covenants

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I got an 88% on my 63 exam with the help of using Solomon which helped a lot!

Brianna Davis, Foresters Financial Services, Lombard, IL

Solomon Exam Prep material was great. Explained in a way that is easy to learn and follow. Test questions really help the material sink in. I had failed the Series 66 twice using another service. When it came time to find new material for the Series 65 and Series 63 Solomon was it. I passed both the 65 & 63 with flying colors and I have Solomon to thank for that.

Jeff Champigny, Merrill Lynch, Greensboro, NC

Within a few months, I passed the SIE, Series 7, 63, 65, & 79 exams all on the first try using Solomon Exam Prep. This material will prepare you for the actual exam. I will say in many instances the practice exams are more difficult than the actual exam. Solomon and the various tracking metrics will more than help you prepare for the rigors of exam day. I highly recommend the practice exams and ability to dive back in to review weak areas. I will continue to use their products and services in the future.

Andrew Ezzat, Bank of America. Tampa, FL.

Previously I used another prep company for the Series 63 and did not pass. Second time around I used Solomon and passed! What's more, I felt much more confident from taking the practice exams and working towards a higher and higher probability rate of passing. Thank you Solomon! I'll definitely use you again with any future security exams.

Max Thomas, Finalis / Evalla Advisors LLC. Los Angeles, CA

I have now used Solomon for the SIE, series 6, and 63. I am ordering my 7 materials now. The structure and resources are right on target. The practice exams are more difficult than the exam which makes taking the exam much easier. I give all of the credit to Solomon for my 100% pass rate so far. I recommend Solomon to all of my coworkers.

Alex Coyne, Northwestern Mutual. Pensacola, FL

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 →