Series 63: Types Of Registration

Taken from our Series 63 Online Guide

Types of Registration

The actual registration process itself varies slightly depending on the nature of the security being registered, previous registrations in other jurisdictions, etc. The three registration methods are:

1. Registration by Qualification
2. Registration by Coordination
3. Registration by Filing

Federal cov

+ Read More

More Series 63 Info

What are people saying?

Create an Account

Since you're reading about Series 63: Types Of Registration, you might also be interested in:

Series 24 - Cooling-off Period

Series 24 - 5.11.4.3. Stock Power

Series 65 - 10.10.5.1. Blanket Recommendations

Series 65 - 2.1.1.2. Right to Vote on Relevant Matters

Series 26 - Misrepresenting the Member Firm’s Registration

Series 27 - Exercise

Series 53 - Rule G-1—Municipals Activities in Banks Must Be Done in a Separately Identifiable Department

Series 99 - 3.3.2 Commissions, Markups, and Charges

Series 82 - 3.6.3. Six-Year Records

Series 26 - Registration of Successor

Series 50 - Anti-Fraud Regulation

Series 52 - 6.4.1. Taxation of Municipal Bonds Held to Maturity

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I thought you might appreciate knowing that I passed the test with a 90 today. Thanks again for all the help and good quality material that your company has. I am very glad to have used your materials and will certainly refer others to Solomon Exam Prep. (Series 6 & 63)

Matthew Baird, Gloversville, NY

Between September 18 and December 3, I took exams for the Series 62, 63, 6 and 24. I studied for everything with Solomon, and passed them all on the first try. Solomon’s interactive/Ask the Professor teaching method was extremely helpful in grasping the necessary concepts. What a relief to be done. Thanks, Karen!

Karen H, Dalkeith Group, High Falls, NY

I passed the Series 63 with the help of the Solomon materials. I loved the audio books and the quiz and test questions were extremely helpful. Thank you Solomon!

Diane Kotil, Quasar Distributors, Milwaukee, WI

Thanks to Solomon Test Prep, I passed the Series 79, 7, 63 and 82 exams. Your excellent software made all the difference!

Constantine Valhouli, New York, NY

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

Thanks! I am thrilled. I took the Series 7 three years ago and have been putting off the Series 63 after I failed the first time. I used your book and iPhone app. I am recommending your materials to everyone in my office that needs to take the 63 in the near future. Of course you can use my email as a testimonial. Everything that people have said on the testimonials is 100% correct. The way the materials are written makes it much less of a chore to read and comprehend. Thanks for the follow up email!

Julia Smith, RBC Wealth Management