Series 63 Overview
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The Series 63 Uniform Securities Act (USA) exam, although short, can be challenging. This license is required in most states to sell securities within that particular state. Under most circumstances, a Series 7, Series 6 or other appropriate securities license is also required to sell securities.
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Definitions Part 1
This lesson explores and details more important terms related to the Series 63 Course.
Securities and Registrations
This lesson covers the basic categories of securities and registration requirements.
Administrator’s Authority to Deny (Persons)
This lesson covers the Administrator’s Authority to Deny, Suspend, and Revoke the Registration of Persons.
Administrator’s Authority to Deny (Securities)
This lesson covers the Administrator’s Authority to Deny, Suspend, and Revoke the Registration of Securities.
Exemptions and Prohibitions
This lesson covers Exempt Transactions as well as Fraudulent and Other Prohibited Practices.