Wiley Series 63
Exam Review
Test Bank + Study Guide
Uniform Securities Agent State
Law Examination
,CONTENTS
About the Series 63 Exam
Taking the Series 63 Exam
How to Prepare for the Series 63 Exam
How Much Has the Series 63 Exam Changed?
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 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
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
Contumacy
Federally Covered Exemption
Power of attorney
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
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
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
Exam Review
Test Bank + Study Guide
Uniform Securities Agent State
Law Examination
,CONTENTS
About the Series 63 Exam
Taking the Series 63 Exam
How to Prepare for the Series 63 Exam
How Much Has the Series 63 Exam Changed?
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 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
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
Contumacy
Federally Covered Exemption
Power of attorney
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
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
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
