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The study guide is designed to provide an overview of the exam’s general content and format. Candidates should educate themselves about the Uniform Securities Act, as well as Statements of Policy and Model Rules adopted by NASAA, in preparation for the Series 63 exam.. Study Guide Note: None of the problems recommended here refer to problems from the book. All the problems suggested are from the Sequences Notes. (For convenience, the pages with these problems have been repeated below.) Outline I. Formulas for Sequences Remember the formula for an arithmetic sequence is always + œ 5 8.8

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Prepare for your series 63 exam

A Series 6 registered individual is not a stockbroker since Series 6 license holders cannot sell stock, other corporate securities, direct participation programs (DPPs), or option products. This exam is administered by the Financial Industry Regulatory Authority (FINRA, previously known as the NASD).

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Series 63 Test Specifications Topic Weight No. Questions Regulation of Investment Advisers Including State-Registered and Federal Covered Advisers 5% 3 1. definitions of an Investment Adviser (e.g., activities requiring registration) Regulation of Investment Adviser Representatives 5% 3.  Ephesians Small Group Series Lesson 1 Introduction to

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