Series 63: 3.1.4. Exemptions To Issuer And Security Registration

Taken from our Series 63 Online Guide

3.1.4. Exemptions to Issuer and Security Registration

When it comes to exemptions to registration requirements for securities and issuers, the Uniform Securities Act continues to be as much about the exemptions from the rules as the rules themselves. Sometimes, even the exemptions have exemptions. I

+ Read More

More Series 63 Info

What are people saying?

Create an Account

Since you're reading about Series 63: 3.1.4. Exemptions To Issuer And Security Registration, you might also be interested in:

Series 51 - Chapter 7 Practice Questions

Series 65 - Strategic Asset Allocation

Series 51 - Rule G-45—Reporting on 529 and ABLE Accounts

Series 63 - 2.1.4.1. Reasons for Disciplining a Broker-Dealer

Series 65 - Cash Flow/Income Statement

Series 79 - 5.3.3. Loans to Management or Directors

Series 65 - 5.3.1 Capital Asset Pricing Model

Series 27 - FINRA Count and Verification Requirements

Series 24 - Adjustments to Net Worth

Series 14 - 9.1.3.1.1. Retail Communications

Series 66 - 5.1.1.2.6. Tax Basis of Gifted Securities

Series 28 - Uncovered Long Positions

Series 24 - FINRA Membership

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Solomon, You all are the best. I wanted to let you know....Your classes are great! You explain the material so well. I had taken the Series 6 with another company and only passed by one point! I took the course with the same company for the Series 63 and missed it by one point! Needless to say, I was a little upset. I decided to start from scratch and did it with Solomon. I passed the Series 63 with a 82%. Thanks! I am preparing to take the Series 65 and will use Solomon too. You all are great!!!

Jenee S.

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

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

I got an 88% on my 63 exam with the help of using Solomon which helped a lot!

Brianna Davis, Foresters Financial Services, Lombard, IL

Nailed my Series 63!! Solomon, y'all rock! Passed this exam after failing twice with another vendor. So folks, use Solomon and PASS!

Sri Murali, Regions Investment Solutions, Baton Rouge, LA

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.