Series 63: Exercise

Taken from our Series 63 Online Guide

Exercise

Choose FRAUDULENT or NOT FRAUDULENT

1. _____ An investment adviser fails to disclose facts about a financial condition that is not material to its effectiveness as a firm.

2. _____ An adviser purchases a security for his own account in advance of purchasing a large block of the same securities for a client. He makes this purchase because he expects the price of the security to get a boost from his client’s purchase.

3. _____ An employee of a firm reports his securities holdings to the firm’s compliance office one week after first obtaining inside information.

Answers

1. Not fraudulent. On

+ Read More

More Series 63 Info

What are people saying?

Create an Account

Since you're reading about Series 63: Exercise, you might also be interested in:

Series 82 - Interest Rate Risk

Series 65 - 2.15.1. General Obligation Bonds

Series 65 - Short Interest Ratio

Series 50 - Money Market Instruments

Series 53 - Forming the Syndicate: Syndicate Letter

Series 66 - 6.7.3 Other Margin Information

Series 66 - 3.1.3. How Mutual Funds Do Business

Series 14 - 7.2.4.1. Principals

Series 66 - 9.4.3 Margin and Lending Specific Rules

Series 82 - Integration and Aggregation

Series 66 - 4.2.4.3 Example of Balance Sheet and Income Statement

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Used Solomon Exam Prep for both my Series 6 and 63 exams. Passed both first try. The practice tests were invaluable. Thanks!

Alex T.

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

The manuals make the process of wading through all the material much more enjoyable. Ordinarily, this stuff would not be entertaining to study, but even a serious person like me could be heard laughing out loud occasionally. The on-line testing was very convenient, and being able to refer back to the missed questions was very helpful. Best of all, I passed both the 6 and 63 on the first attempt!

Blaine Burnett, Cascade Financial Advocates, Portland, OR

I have used Solomon exam prep for the 6/63 and was able to pass on the first try. Now I’m taking the 65 and hope to do the same. I’ve used other recommended exam prep courses and came back to Solomon for the 65 because of ease of use. I would recommend Solomon to anyone that is in need of a securities exam. All the content is laid out in an easy to follow way.

Antonio Mendoza, State Farm. Santa Maria , CA.

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

I took a job which required me to pass the SIE, Series 6, Series 63 and Series 26. Understandably this was a pretty tall task, but the Solomon Exam Prep materials made it incredibly easy. I appreciated how well all of the material was laid out for all four tests. I stuck to the study plans that were included in the resources and passed all four tests on the first try. This was a stressful time in my life, but Solomon got me through it! I would highly recommend Solomon to anyone who is looking to become licensed. Part of my new job is managing other licensed individuals and I recently hired two employees who are now required to be licensed. I reached out to Solomon for a demo of their Admin Portal and it is wonderfully comprehensive. It allows me to track my employees progress without having to reach out and be too invasive. Excellent all around!

Stephen Carbaugh, StanCorp Equities, Inc. Portland, OR