Series 63: Exercise

Taken from our Series 63 Online Guide

We have an Audiobook for this text!

Exercise

Choose broker-dealer or not a broker-dealer

1. _ James is an employee of Securities-R-Us, a broker-dealer firm. He helps clients effect transactions.
2. _ The city of Raleigh, North Carolina, issues municipal securities, which it sells to the general public.
3. _ ABC is a firm that specializes in selling securities from its own account to retail clients.
4. _ ABC Mutual Funds is a firm that spec

+ 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:

SIE - Becoming a Registered Employee

Series 66 - Other Types of Bonds

Series 79 - Chapter 6 Practice Question Answers

Series 7 - 3.6.13. Rule G-13—Published Municipal Securities Quotations Must Be Firm

Series 28 - Long Positions in Margin Accounts

Series 66 - Fiduciary Responsibility

Series 24 - 3.7.2.6. First Trade in a Long Margin Account

Series 7 - 10.1.1 Regulation Best Interest

Series 3 - 3.3.2. Basis Risk

Series 65 - 6.4.2.2 Uniform Gifts to Minors Act (UGMA) and Uniform Transfers to Minors Act (UTMA) Accounts

Series 79 - Ongoing Reporting Obligations

Series 6 - 3.6.2. Coverdell Education Savings Accounts

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Thank you Solomon! I was able to pass the SIE, 7, 63 and 24 in a relatively short time period. The practice exams with answers really helped and when I had a question for The Professor, I always received a quick and accurate response. Solomon is definitely the way to go.

Seth Schader, CCO, Mercer Island, WA

I used the one iPhone app for the 63 and found it a great help. I used it whilst watching TV, waiting for the car to be serviced, any spare few minutes I would practice a question or two.

Ben Humphries, Starlight Investments, Atlanta, GA

Big thanks to Jeremy Solomon and Solomon Exam Prep w/o whose practice exams & books the Series 79 and Series 63 would be a suicide mission or death by boredom!

Andrew Romans, Los Altos, CA

Between September 18 and December 3, I took exams for the Series 62, 63, 6 and 24. I studied for everything with Solomon, and passed them all on the first try. Solomon’s interactive/Ask the Professor teaching method was extremely helpful in grasping the necessary concepts. What a relief to be done. Thanks, Karen!

Karen H, Dalkeith Group, High Falls, NY

I took the 6 and 63. I passed the 6 with a 90% and the 63 with an 87%. I used the test simulator for both and it was a tremendous help. I was actually studying using a different book and I wasn't getting enough info. The Test Simulator was key. It threw the questions at me in a different way which was similar to the actual test. I don't think I would have passed without it. THANKS!

Idette Campos, Licensed Personal Banker & Small Business Specialist, JP Morgan Chase, Chula Vista, CA

All of your products are AMAZING! I passed my 6 & 63 with Solomon by my side every step of the way. Thanks again!

Stephen Snyder