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Wiley Series 63 Exam Review 2013 + Test Bank
The Uniform Securities Examination
The Securities Institute of America, Inc.
Uniform Securities Exam (Series 63) is designed to qualify candidates as securities agents. The examination covers the principles of state securities regulation reflected in the Uniform Securities Act.
Topics Covered:
Pre-requisites: In order to conduct securities business, many states require that an agent successfully complete the Series 63, in addition to obtaining a Series 6, 7, or 62 registration, but a candidate is not required to have any other professional qualifications prior to taking the Series 63 exam.
Topics Covered:
- State Securities Acts and Related Rules
- Ethical Practices and Fiduciary Obligations
Pre-requisites: In order to conduct securities business, many states require that an agent successfully complete the Series 63, in addition to obtaining a Series 6, 7, or 62 registration, but a candidate is not required to have any other professional qualifications prior to taking the Series 63 exam.
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