Series 62

Recommendations Professional Conduct And Taxation - Investor Information

All broker dealers that carry customer accounts must send to its customers, information detailing FINRA’s public disclosure program at least once per calendar year. The information must contain the program’s 800 number, FINRA’s website and a statement that an investor brochure that includes the same information is available.

Final thoughts

The series 62 can be a challenging exam for many people. The sections relating to the secondary market and the market for corporate securities tend to be the most challenging for test takers. We recommend that you reread this section in your textbook two to three times. In addition you should review your notes carefully and take as many series 62 practice questions as you can. Most states will require that you also pass the series 63 exam in addition to your series 62 before you may conduct business with the investing public.



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