100% satisfaction guarantee Immediately available after payment Both online and in PDF No strings attached
logo-home
Previously searched by you
Previously searched by you
logo
Wiley Series 63 Exam Review Test Bank + Study Guide Uniform Securities Agent State Law Examination |All Chapters, Year-2024| $15.49
Add to cart
Quickly navigate to
Preview
  2.  
  3. Nursing
  4.  
  5. Nursing

Exam (elaborations)

Wiley Series 63 Exam Review Test Bank + Study Guide Uniform Securities Agent State Law Examination |All Chapters, Year-2024|
 8 views  0 purchase
  • Course
  • Nursing
  • Institution
  • Nursing
  • Book
  • Wiley Series 63 Securities Licensing Exam Review 2020 + Test Bank

Wiley Series 63 Exam Review Test Bank + Study Guide Uniform Securities Agent State Law Examination |All Chapters, Year-2024|

Preview 4 out of 356  pages

Document information

  • January 10, 2024
  • 356
  • 2023/2024
  • Exam (elaborations)
  • Questions & answers

Subjects

  • wiley series 63 exam review test bank study guid

Connected book

book image

Book Title:

Author(s):

  • Edition:
  • ISBN:
  • Edition:

More summaries for

  • Series 63 - U.S financial regulation Law Examination Practice Updated 2024 with 100% Correct Answers
  • Wiley Series 63 Exam Review Test Bank + Study Guide Uniform Securities Agent State Law Examination |All Chapters, Year-2024|
  • Wiley Series 63 Exam Review Test Bank + Study Guide Uniform Securities Agent State Law Examination |All Chapters, 2024|
All for this textbook (9)

Written for

  • Nursing
All documents for this subject (42295)

Seller

avatar-seller
ALLTESTBANK

Reviews received

Content preview

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

The benefits of buying summaries with Stuvia:

Guaranteed quality through customer reviews

Guaranteed quality through customer reviews

Stuvia customers have reviewed more than 700,000 summaries. This how you know that you are buying the best documents.

Quick and easy check-out

Quick and easy check-out

You can quickly pay through credit card or Stuvia-credit for the summaries. There is no membership needed.

Focus on what matters

Focus on what matters

Your fellow students write the study notes themselves, which is why the documents are always reliable and up-to-date. This ensures you quickly get to the core!

Frequently asked questions

What do I get when I buy this document?

You get a PDF, available immediately after your purchase. The purchased document is accessible anytime, anywhere and indefinitely through your profile.

Satisfaction guarantee: how does it work?

Our satisfaction guarantee ensures that you always find a study document that suits you well. You fill out a form, and our customer service team takes care of the rest.

Who am I buying these notes from?

Stuvia is a marketplace, so you are not buying this document from us, but from seller ALLTESTBANK. Stuvia facilitates payment to the seller.

Will I be stuck with a subscription?

No, you only buy these notes for $15.49. You're not tied to anything after your purchase.

Can Stuvia be trusted?

4.6 stars on Google & Trustpilot (+1000 reviews)

52928 documents were sold in the last 30 days

Founded in 2010, the go-to place to buy study notes for 14 years now

Start selling
$15.49
  • (0)
Add to cart
Added