Series 63 Uniform Securities Agent State Law Exam* (Series63) Practice Tests & Test Prep by Exam Edge - Topics
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Understanding what is on the Series 63 Uniform Securities Agent State Law Exam* exam is crucial step in preparing for the exam. You will need to have an understanding of the testing domain (topics covered) to be sure you are studing the correct information.
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Understanding the exact breakdown of the Series 63 Uniform Securities Agent State Law Exam test will help you know what to expect and how to most effectively prepare. The Series 63 Uniform Securities Agent State Law Exam has multiple-choice questions The exam will be broken down into the sections below:
| Series 63 Uniform Securities Agent State Law Exam Exam Blueprint | ||
|---|---|---|
| Domain Name | % | Number of Questions |
| State Securities Acts and related rules and regulations | 60% | 36 |
| Regulation of Investment Advisers, including state registered and federal covered advisers | ||
| Regulation of Investment Adviser Representatives | ||
| Regulation of Broker-dealers (e.g., Definition, Registration, Post-Registration requirements) | ||
| Regulations of Securities and Issuers | ||
| Remedies and Administrative Provisions | ||
| Ethical practices and fiduciary obligations | 40% | 24 |
| communications with clients and prospects | ||
| compensation | ||
| client funds and securities | ||
| conflicts of interest and other fiduciary issues | ||