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      Series 63 Exam Audio Study Lessons

      Series 63 Exam Audio Study Lessons

      ©2018 Franz Amussen all rights reserved

      Series 63 Exam lesson Introduction

      About the Exam

      Series 63 Exam lesson 1 Business Practices customer accounts part 1

      Cash accounts and

      Client information requirements

      Margin accounts

      Information requirements

      Individual Accounts

      Joint Accounts

      Transfer on Death

      Discretionary Authority

      Suitability of investments

      Wash trades

      Solicited orders vs unsolicited orders

      Suitability Rules

      Customer communication of risks

      Fiduciary Rules: Broker Dealer vs Investment Advisor

      Settlement

      Reg T

      Short Sales

      Comingling Stocks

      Proprietary positions of Broker Dealer

      Client Taking Possession of Securities

      Series 63 Exam lesson 2 Business Practices customer accounts part 2

      Antifraud Rules

      Client Consent

      Contract Requirements

      Investment Advisory Agreement Requirements

      Sharing of Gains and Losses

      Brochure requirements

      ADVA pt 2a pt2b

      Custody of Client Assets

      Series 63 Exam lesson 3 Business Practices customer accounts part 3

      Borrowing Money from Customers

      Loaning Money to Customers

      Commissions’

      Disclosure

      Customer Complaints

      Trading Practices

      Tipper Tipee rules

      Penalties for Insider Trading

      Front Running

      Initial Public Offerings

      Advertising

      Testimonials

      Internet Advertising

      Email Communication

      Selling Away

      Referral Fees

      Series 63 Exam lesson 4 Business Practices

      Uniform Prudent Investor Act

      Diversification

      Concentrated Portfolios

      Prohibited Transactions

      Block Trades

      Conflicts of Interest

      Not Not May Rules

      Promissory Note Fraud

      Anti-Money Laundering Rules

      Suspicious Activity Reports

      Privacy Statement

      Orders and Order Confirmations

      Do It Rule

      Limit Order Display Rule

      Payment for Order Flow

      Series 63 Exam lesson 5 Registration & Licensing part 1

      Blue Sky Laws

      Conflicts between Fed and State

      Definitions

      Issuer

      Non Issuer

      Agents

      Principal

      Intuitional Buyers

      Exclusions

      De Minimis Rule

      Exempt Securities

      Isolated Transaction Loophole

      Covered Securities

      Qualified Purchaser

      Series 63 Exam lesson 6 Registration & Licensing part 2

      Financial Advisors

      State Registration vs. Fed Registration

      National Securities Improvement act of 1996

      Investment Advisor Representative

      Broker Dealer Agent

      Exclusions

      Exemptions

      Fees

      U4 Form

      U5 Form

      CRD

      Series 63 Exam lesson 7 Registration & Licensing part 3

      Registration Requirements

      Net Capital

      Individual vs. Entity

      Surety Bond

      Custody of Assets

      Financial Report

      Maintaining Registration

      Record Keeping Requirements

      Record Retention

      Broker Dealer Records Act of 1934

      Advertising

      Email Correspondence

      Electronic Record Keeping

      Brochure Rule

      Statute of Limitations

      Suspensions

      Withdrawing from the Business

      Series 63 Exam lesson 8 Securities Registration

      Definition of Security

      Exempted Securities

      Federal Covered Securities

      Definition of Sale and Offer

      Registration by Filing

      Registration by Coordination

      Registration by Qualification

      Revocation of Registration

      Hearing Requirements

      Series 63 Exam lesson 9 Administrative Procedures

      Penalties

      Investigations

      Non Public and Public Investigations

      Grounds for Suspension or Revocation

      Cease and Desist Orders

      Criminal Liability

      Civil Liability

      Offer of Rescission

      Radio and Newspaper Offers

      Web Pages

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