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Series 63 – Live Online Package Agenda
Webinar: ID# 1010387
Agenda
About the Series 63 Exam
The Series 63 exam is broken down into two parts. These topics include:
State Securities Acts and related rules and regulations
Ethical practices and fiduciary obligations
What’s Covered By This Course
State Securities Acts and related rules and regulations
Regulation of Investment Advisers, including state registered and federal covered advisers
Regulation of Investment Adviser Representatives
Regulation of Broker-dealers (
e.g.
, definition, registration, post-registration requirements)
Regulation of Agents of Broker-dealers
Regulations of Securities and Issuers
Remedies and Administrative Provisions
Ethical practices and fiduciary obligations
Communications with clients and prospects
Compensation
Client funds and securities
Conflicts of interest and other fiduciary issues
Order:
Series 63 – Live Online Package
Available Live on 5/22/2024
Qty:
Live Version ($129.95)
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