The Series 63 Exam is designed to qualify candidates as securities agents. The test is designed to judge the applicants knowledge of state securities laws and regulations.
Co-requisites: Securities Industry Essentials (SIE) Exam and The Series 7 (aka: Series 7 Top-off) Exam
The Series 63 course covers:
Definition of Terms, Registration Requirements (broker-dealers, agents and investment advisers), regulation of securities, rule enforcement, fraudulent and prohibited practices.
The Series 63 license exam has a total of 65 questions. However, only 60 of the questions count toward the Series 63 grade. The other 5 questions are experimental and could appear in any position within the Series 66 exam and will not count for towards your grade. To pass the test, each candidate must correctly answer at least 73 (71.66%) of the 60 questions. Each person has a total of 75 minutes to complete the Series 63 license exam.
Series 63 Course Textbook
Series 63 Course Textbook with chapter exams, final exams, and a glossary of Series 63 terms.
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About the book:
The Series 63 Exam License Book is a 140 page book which was developed by Empire Stockbroker Training Institute. Because we here at Empire understand your frustration, our Series 63 Manual is written in plain English with shorter paragraphs and is focused on the NASAA Series 63 Exam content with no unnecessary fluff. Key features of our book:
- Updated for 2019
- Comprehensive – The Series 63 Course Textbook is complete and easy to understand
- Diagrams – These not only help make studying more enjoyable they also help you visualize difficult concepts
- Notes and Tips – Key points mixed throughout the chapters to emphasize important ideas
- Chapter Exams – Multiple-choice questions at the end of each chapter with detailed explanations
- Final Exams – Four 60-question Series 63 practice exams with detailed explanations
- Glossary – Each book includes a glossary of exam-focused investment terms
All books were created by Steven M. Rice and Rueben Martinez