Series 63: Post-Registration Requirements

Taken from our Series 63 Online Guide

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 or her registration in a timely manner. The most likely post-registration requirement would be many states’ requirement to engage in some type of continuing education during each renewal period.

+ Read More

More Series 63 Info

What are people saying?

Create an Account

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

Series 99 - Exercise

Series 24 - 4.3.2.5. Anti-Fraud Provisions

Series 24 - Cash Settlement and Delivery of Securities

Series 79 - 13.2.3. Going Private

Series 79 - Shelf Registration Prospectus May Omit Information Not Known at Time of Filing

Series 82 - 2.1.1.3. “Know Your Customer” Rule

Series 79 - 11.5. Closing

Series 65 - Fixed Annuities

Series 27 - Anti-Fraud Rules for Best Efforts Underwritings

Series 66 - Internal Rate of Return (IRR)

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

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

Thank you very much!! I have to say your books and online quizzes are the best! They helped me pass my Series 6 (after failing twice with other study materials) and passing my Series 63 the first time! Thanks again!

Bernadette Reyes

A more recent update after taking my Series 7 exam: Within one year of joining the financial industry, Solomon materials have gotten me a 100%, 4 for 4 pass rate with the SIE, S6, 63 and S7 all completed within 10 months. Once again, the materials and practice tests prepared me for the S7 exam better than I could've imagined. I will continue to refer people to Solomon, as the material, customer service, and whole experience has been unmatched.

Alex Coyne, Northwestern Mutual. Pensacola, FL

Thank you Solomon! I was able to pass the SIE, 7, 63 and 24 in a relatively short time period. The practice exams with answers really helped and when I had a question for The Professor, I always received a quick and accurate response. Solomon is definitely the way to go.

Seth Schader, CCO, Mercer Island, WA

I have now used Solomon for the SIE, series 6, and 63. I am ordering my 7 materials now. The structure and resources are right on target. The practice exams are more difficult than the exam which makes taking the exam much easier. I give all of the credit to Solomon for my 100% pass rate so far. I recommend Solomon to all of my coworkers.

Alex Coyne, Northwestern Mutual. Pensacola, FL

Solomon Exam Prep did it again! I passed the Series 63! Now, I'm 3 for 3 - SIE, S6 & S63 - all first try- thanks to the amazing study material! The practice exams are phenomenal!

Candace Chavez, Cetera Investment Services. Wimberley, TX.