Exam topics

State securities law, registration, communications, and ethical practice.

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NASAA Series 63 content outlineNASAA's Series 63 specifications contain eight areas: adviser regulation 5%, adviser representatives 5%, broker-dealers 12%, their agents 13%, securit…
NASAA Series 63 agent registration scenariosFor Series 63 agent questions, identify the individual, the firm or issuer represented, the securities activity, the state connection, and any specifi…