Series 63: 1.3.1.4 Post-Registration Requirements

Taken from our Series 63 Online Guide

1.3.1.4 Post-Registration Requirements

There are very few post-registration requirements for investment adviser representatives, aside from the IAR not breaking the law and the IAR’s firm renewing his registration in a timely manner. The most likely post-registration requirement is the continuing education requirement that is imposed by many states.

+ Read More

More Series 63 Info

What are people saying?

Create an Account

Since you're reading about Series 63: 1.3.1.4 Post-Registration Requirements, you might also be interested in:

Series 65 - Fraud and the 1933 and 1934 Acts

Series 50 - Tax Credit BABs

Series 26 - General Securities Representative (Series 7)

Series 65 - Buy and Sell Orders

Series 6 - 7.3.1. Different Types of Investors and Investment Strategies

SIE - 3.10.1. Local Government Investment Pools (LGIPs)

Series 28 - Good Faith Account

Series 7 - 3.2.5.1. Local Government Investment Pools

Series 65 - 3.4. Exchange-Traded Funds (ETFs)

Series 27 - Amending a Registration

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I have passed the SIE, Series 63, and Series 65 all on the 1st attempt. Thank you Solomon Exam Prep! The practice tests are great and really prepare you for the real exam.

Gary Kilanowski. Scottsdale, AZ

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

Great job with the Series 63 study material. I read the study guide, took notes against it, made flashcards and did tons of online tests just as the material suggested. Following the outline worked and I passed with plenty of room to spare. In particular, being able to access questions online is worlds better than how I remember studying for other exams in the past.

Tom L., Atlanta, GA

Your books and online exam simulators were an excellent study mix: I passed the Series 63 and the Series 79 exams!

Bob Newkirk, Moesman Advisors LLC, Denver, CO

I just took the Series 63 last week, for the first time. I passed with a grade of 87%. The only study guide I used was your audio book which I listened to on the way to work everyday. I have never worked in the securities industry before, and I had no existing knowledge of anything related to securities law. Everything I know about the subject I learned from your audio book. I will always look to your exam preps for my future test prep needs.

David Laurie, Houston, TX

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