Series 63: Exercise

Taken from our Series 63 Online Guide

We have an Audiobook for this text!

Exercise

Choose broker-dealer or not a broker-dealer

1. _ James is an employee of Securities-R-Us, a broker-dealer firm. He helps clients effect transactions.
2. _ The city of Raleigh, North Carolina, issues municipal securities, which it sells to the general public.
3. _ ABC is a firm that specializes in selling securities from its own account to retail clients.
4. _ ABC Mutual Funds is a firm that spec

+ Read More

More Series 63 Info

What are people saying?

Create an Account

Since you're reading about Series 63: Exercise, you might also be interested in:

Series 28 - Other Non-Equity Securities

Series 79 - Discounted Cash Flow Analysis

Series 63 - Chapter 8

Series 14 - 10.4. Disclosure in Research Reports

Series 7 - 8.2.7 Taxation

SIE - Exercise

Series 79 - Contents of a Registration Statement (Section 7)

SIE - Stabilizing Bids and Penalty Bids

Series 6 - 7.5.1.4. Disclosure of Taxation Considerations

Series 66 - Unauthorized Principal Transactions

Series 65 - Hedging Strategies

Series 24 - Non-branch Locations

Series 66 - 6.6. High-Frequency Trading

Series 79 - Analysis of the Buyer’s Strategy and Resources

Series 52 - 1.5.1. Anticipation Notes

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Solomon was my ticket to a passing grade the first time on both exams [Series 79 and Series 63]!

Laura Bumgarner, Houston, Texas

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.

I passed the 63 on the first try with Solomon Exam prep! The Exam Simulator was amazing and the Audiobook really helped!!!

Brad Eiden, Jefferson National, Louisville, KY

I passed the Series 7 on my first attempt. In fact, five years ago, I also passed both the Series 6 and 63 on my first attempt. In all cases, I used Solomon Exam Prep materials which make sometimes 'dry' topics much more readable. Also, having the option to take an unlimited number of practice tests and receive immediate, thorough feedback was invaluable. I highly recommend them!

Blaine Burnett

Big thanks to Jeremy Solomon and Solomon Exam Prep w/o whose practice exams & books the Series 79 and Series 63 would be a suicide mission or death by boredom!

Andrew Romans, Los Altos, CA

I followed the Solomon recipe for success and passed the Series 63 on my first attempt!!

Jaime Avery, John Hancock, Boston, MA