Series 63 Exam Study Guide 2022 + Test Bank by The Securities Institute of America -- Read -- Imperial Library of Trantor

Index

About the Series 63 Exam

Taking the Series 63 Exam How to Prepare for the Series 63 Exam Why Do I Need to Take the Series 63 Exam? What Score Is Needed to Pass the Exam? Are There Any Prerequisites for the Series 63? How Do I Schedule an Exam? What Must I Take to the Exam Center? How Soon Will I Receive the Results of the Exam?

About This Book About the Test Bank About The Greenlight Guarantee About The Securities Institute of America Chapter 1 Federal Law Review

The Securities Act of 1933 The Prospectus The Final Prospectus Misrepresentations The Securities Exchange Act of 1934 Net Capital Requirement Customer Coverage Fidelity Bond The Insider Trading and Securities Fraud Enforcement Act of 1988 Firewall The Telephone Consumer Protection Act of 1991 National Securities Market Improvement Act of 1996 The Uniform Securities Act The Uniform Prudent Investors Act of 1994 The Department of Labor Fiduciary Standard THE PATRIOT ACT REGULATION S-P Identity Theft FINRA Rules on Financial Exploitation of Seniors

Chapter 2 Definition of Terms

Security Person Broker Dealer Pension Consultants Investment Counsel Form ADV Investment Adviser Registration Database (IARD) Investment Adviser Representative Offer/Offer to Sell/Offer to Buy Sale/Sell Guarantee/Guaranteed 12B-1 FEES Contumacy Federally Covered Exemption Power of attorney Escheatment

Pretest Chapter 3 Registration of Broker Dealers, Investment Advisers, and Agents

Registration of Broker Dealers and Agents Agent Registration Registering Broker Dealers Financial Requirements Broker Dealers on the Premises of Other Financial Institutions HIRING NEW EMPLOYEES RESIGNATION OF A REGISTERED REPRESENTATIVE Registering Agents Canadian Firms and Agents Investment Adviser Registration The National Securities Market Improvement Act of 1996/The Coordination Act Investment Adviser Representative Investment Adviser Registration Capital Requirements Exams Advertising and Sales Literature Brochure Delivery Wrap Accounts

Pretest Chapter 4 Securities Registration, Exempt Securities, and Exempt Transactions

Exempt Securities Securities Registration Registration of IPOs Through Coordination Registration Through Notice Filing Registration of Non-Established Issuers/Registration Through Qualification Exempt Securities/Federally Covered Exemption Exempt Transactions Rule 147 Intrastate Offering

Pretest Chapter 5 Professional Conduct and Prohibited and Fraudulent Actions

Fraud Professional Conduct Suitability Market Manipulation Customer Complaints The Role of the Investment Adviser Additional Compensation for an Investment Adviser Agency Cross Transactions Disclosures by an Investment Adviser Investment Adviser Contracts SEC Marketing Rules for Investment Advisers Private Investment Companies/Hedge Funds Fulcrum Fees Soft Dollars Borrowing and Lending Money Free Services

Pretest Chapter 6 The State Securities Administrator and the Uniform Securities Act

Actions by the State Securities Administrator Cancellation of a Registration Withdrawal of a Registration Actions Against an Issuer of Securities Rule Changes Administrative Orders Interpretive Opinions Administrative Records Investigations Civil and Criminal Penalties Jurisdiction of the State Securities Administrator Administrator’s Jurisdiction over Securities Transactions Radio, Television, and Newspaper Distribution Right of Rescission

Pretest Answer Keys Glossary of Exam Terms

A D E F G H I K L M N O P R S T U V W Z