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Study Guide: Series 63
Chapter 1 - 2
1. The Foundation
1.1 Introduction
1.2 The Uniform Securities Act (USA) - Definition Part 1
1.3 The Uniform Securities Act (USA) - Definitions Part 2
1.4 The Uniform Securities Act (USA) - Definitions Part 3
1.5 The Uniform Securities Act (USA) - Definitions Part 4
1.6 The Uniform Securities Act (USA) - Definitions Part 5
1.7 The Uniform Securities Act (USA) - Definitions Part 6
1.8 That Word "Exempt"
1.9 National Conference of Commissioners on Uniform State Laws (NCCUSL)
1.10 The Administrator
2. Registrations of Persons
2.1 Introduction
2.2 Broker-Dealer Definition and Exclusions
2.3 Broker Dealer: Initial Registration
2.4 Broker-Dealer: Membership Maintainance
2.5 Agents: Definition
2.6 Agents: Registration
2.7 Agents: Limitations and Terminations
2.8 Investment Adviser: Definition
2.9 Investment Adviser: Initial Registration and Requirements
2.10 Investment Adviser Representative (IAR): Definition
2.11 Investment Advisers: Ongoing Requirements
Chapter 3 - 4
3. Securities
3.1 Introduction
3.2 Securities
3.3 Which Investments Are Not Securities?
3.4 Viatical Settlements and Definition of Sale
3.5 Other Definitions
3.6 Registration by Coordination
3.7 Registration by Qualification
3.8 Securities Exemptions
3.9 Exempt Transactions
3.10 Other Exempt Transactions
3.11 Federal Covered Securities
4. Business Practices
4.1 Introduction
4.2 Communications with Clients and Prospects
4.3 Unlawful Representations
4.4 Trade Practices
4.5 Other Trade Practices
4.6 Anti-Money Laundering
4.7 Bank Secrecy Act (BSA) and Compensation
4.8 Compliance and Custody of Client Funds
Chapter 5 - 6
5. Administrative Provisions and Other Remedies
5.1 Introduction
5.2 Operating Procedures for the Administrator
5.3 Administrative Actions
5.4 Civil Liabilities
5.5 Rescission
5.6 Criminal Penalties and Other Provisions
6. Interviews
6.1 Introduction
6.2 Dave
6.3 Vicki
6.4 Jason
6.5 Jamie
6.6 Hector
6.7 Johathan
6.8 Jeremy
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Securities - Introduction
Definitions
Securities
Sale
Other (e.g., non-issuer, guaranteed)
Registration
Exemptions
Securities
Transactions
Federal covered securities
Next: Securities »
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