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        Series 63 Exam Audio Study Lessons

        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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