Securities Licensing: Series 63 Online
Price: $ 110.00 (USD)
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You will receive 15 credits (CE) upon completion of this course.
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Course Description
The Uniform Securities Agent State Law Examination was developed by the North American Securities Administrators Association, Inc. ("NASAA") in cooperation with representatives of the securities industry and industry associations. The examination, called the Series 63 exam, is designed to qualify candidates as securities agents. The examination entities candidates to sell securities and give investment advice in those states that require Series 63 registration.
The examination covers the principles of state securities regulation reflected in the Uniform Securities Act (with the amendments adopted by NASAA and rules prohibiting dishonest and unethical business practices). The examination is intended to provide a basis for state securities administrators to determine an applicant's knowledge and understanding of state law and regulations. This course will give you an understanding of the scope of the Federal Securities Laws, what fraudulent activities are and the provisions for violations.
Candidates should educate themselves about the Uniform Securities Act, as well as Statements of Policy and Model Rules adopted by NASAA, in preparation for the Series 63 exam. The Series 63 test covers topics including: State Registration Laws and Procedure, Penalties and Suspension, Lawful Practices, Definition of terms, Administrator Rules, Fraudulent Practices and Regulatory Oversights.
In addition, this course features a myriad of practice quizzes by lesson to sharpen test-taking skills, as well as feedback rationale for each question that clarifies and improves retention. The course also offers unlimited number of practice finals that simulate the actual NASD exam to help ensure exam readiness. Study emphasis should be placed on the quizzes and final exams: successful completion of the quizzes will be benchmarks indicating your progress in preparing for the license exam.
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The examination covers the principles of state securities regulation reflected in the Uniform Securities Act (with the amendments adopted by NASAA and rules prohibiting dishonest and unethical business practices). The examination is intended to provide a basis for state securities administrators to determine an applicant's knowledge and understanding of state law and regulations. This course will give you an understanding of the scope of the Federal Securities Laws, what fraudulent activities are and the provisions for violations.
Candidates should educate themselves about the Uniform Securities Act, as well as Statements of Policy and Model Rules adopted by NASAA, in preparation for the Series 63 exam. The Series 63 test covers topics including: State Registration Laws and Procedure, Penalties and Suspension, Lawful Practices, Definition of terms, Administrator Rules, Fraudulent Practices and Regulatory Oversights.
In addition, this course features a myriad of practice quizzes by lesson to sharpen test-taking skills, as well as feedback rationale for each question that clarifies and improves retention. The course also offers unlimited number of practice finals that simulate the actual NASD exam to help ensure exam readiness. Study emphasis should be placed on the quizzes and final exams: successful completion of the quizzes will be benchmarks indicating your progress in preparing for the license exam.
Course Outline
LEARNING OBJECTIVES:
· Learn the scope of the Uniform Securities Laws
· How does one register for securities and their denial, suspension and revocation
· Learn about the registration of persons in the securities industry
· Which practices are prohibited and considered fraudulent
· Understand the provisions for violations
TOPICS COVERED:
· Introduction
· LESSON 1: Scope Of The Act
· LESSON 2: Registration Of Securities
· LESSON 3: Registration Of Persons In The Securities Industry
· LESSON 4: Fraud And Prohibited Practices
· LESSON 5: Provisions For Violations
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· Learn the scope of the Uniform Securities Laws
· How does one register for securities and their denial, suspension and revocation
· Learn about the registration of persons in the securities industry
· Which practices are prohibited and considered fraudulent
· Understand the provisions for violations
TOPICS COVERED:
· Introduction
· LESSON 1: Scope Of The Act
· LESSON 2: Registration Of Securities
· LESSON 3: Registration Of Persons In The Securities Industry
· LESSON 4: Fraud And Prohibited Practices
· LESSON 5: Provisions For Violations
More Information
| Language | English |
| Course Length | 15.00 hours |
| Duration of Access | 120 Days from Purchase |
| Continuing Education Credits | 15 |
| Instructor | Self Study |
| Vendor | 360 Training (Read more about 360 Training accreditation.) |
| Course Certification | None |
| Prerequisites/Audience | Series 6 or 7 Certification |
| Requirements/Materials Included | None |
Price: $ 110.00 (USD)
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