[Download] "Series 63 Exam Flashcard Study System:" by Series 63 Exam Secrets Test Prep Team " eBook PDF Kindle ePub Free

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eBook details

• Title: Series 63 Exam Flashcard Study System:
• Author : Series 63 Exam Secrets Test Prep Team
• Release Date : January 01, 2016
• Genre: Study Aids,Books,Reference,
• Pages : * pages
• Size : 421 KB

Description

***Ace the Series 63 Exam and Get the Results You Deserve***

The Series 63 exam is a challenging test and your results can make a huge difference when it comes to your future. If you do well on the exam, it can open doors and lead to wonderful opportunities. If you do poorly on the Series 63 test, you will find yourself with a lot fewer options. You may have to put your plans for the future on hold, or even give up on them altogether. Preparing for your exam with our Series 63 Exam Flashcard Study System can help you avoid this fate and give you a big advantage when you sit down to take the test.

The Registration of Persons section includes:

Legal person or legal entity
Regulated entities
Persons required to be registered

The Regulation of Investment Advisers section includes:

State filing obligations
Fiduciary responsibility
Investment Adviser Representatives

The Regulation of Broker-Dealers section includes:

Registration requirements
Dual registration
Investment adviser representative

The Regulation of Agents of Broker-Dealers section includes:

Representing multiple persons
Process for clients with margin accounts

The Regulations of Securities and Issuers section includes:

Investment contracts
Registration by qualification
Uniform Securities Act
Securities exempt from state registration

The Remedies and Administrative Provisions section includes:

Administrator's authority
Establishing rules
Registration review process

The Communications with Clients and Prospects section includes:

Material facts in securities transactions
Client-specific approach to recommendations
Guarantees

The Compensation section includes:

Sharing fees or commissions
Allowable forms of compensation
Charging performance-based fees

The Client Funds and Securities section includes:

Market value when providing material facts
Prohibited acts
Investment advisory contract standards

The Conflicts of Interest and Other Fiduciary Issues section includes:

Fraud regulations
Client confidentiality
Cybersecurity

...and much more!

We believe in delivering lots of value for your money, so the Series 63 Exam Flashcard Study System is packed with the critical information you'll need to master in order to ace the test.

Study after study has shown that spaced repetition is the most effective form of learning, and nothing beats flashcards when it comes to making repetitive learning fun and fast. Series 63 Exam Flashcard Study System uses repetitive methods of study to teach you how to break apart and quickly solve difficult Series 63 test questions on the test.

If you think you're ready for the Series 63 exam, test yourself using our Series 63 questions. Find out if you're prepared or if you need to head back to the flashcards for another review. Use our Series 63 practice test questions to make sure that you're not caught off guard on test day!

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