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Wiley - Wiley Series 63 Securities Licensing Exam Review 2019 + Test Bank: The Uniform Securities Agent State Law Examination

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Wiley Wiley Series 63 Securities Licensing Exam Review 2019 + Test Bank: The Uniform Securities Agent State Law Examination
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Wiley Series 63 Securities Licensing Exam Review 2019 + Test Bank: The Uniform Securities Agent State Law Examination: summary, description and annotation

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The go-to guide to acing the Series 63 Exam!
Passing the Uniform Securities Agent State Law Examination (Series 63) qualifies an individual to act as a securities agent. The exam covers the principles of state securities regulation as reflected in the Uniform Securities Act and its amendments and related rules, as well as ethical practices and fiduciary obligations. Many states require an agent to pass the Series 63 exam in addition to the Series 6, 7 or 62 exams to conduct securities business within the state.
Created by the experts at The Securities Institute of America, Inc., Wiley Series 63 Exam Review 2019 arms you with everything you need to pass this challenging 60-question test. Designed to help you build and fine-tune your knowledge of all areas covered in the exam and to guarantee that youre prepared mentally and strategically to take the test, it provides:

  • Dozens of examples
  • Assorted practice questions for each subject area covered in the exam
  • Priceless test-taking tips and strategies
  • Helpful hints on how to study for the test, manage stress, and stay focused
  • Wiley Series 63 Exam Review 2019 is your ticket to passing the Series 63 test on the first trywith flying colors!

    Wiley Series 63 Securities Licensing Exam Review 2019 + Test Bank: The Uniform Securities Agent State Law Examination — read online for free the complete book (whole text) full work

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    WILEY SECURITIES LICENSING SERIES This series includes the following titles - photo 1
    WILEY SECURITIES LICENSING SERIES

    This series includes the following titles:

    Wiley Securities Industry Essentials Exam Review 2019

    • Wiley Series 3 Securities Licensing Exam Review 2019 + Test Bank: The National Commodities Futures Examination
    • Wiley Series 4 Securities Licensing Exam Review 2019 + Test Bank: The Registered Options Principal Examination
    • Wiley Series 6 Securities Licensing Exam Review 2019 + Test Bank: The Investment Company and Variable Contracts Products Representative Examination
    • Wiley Series 7 Securities Licensing Exam Review 2019 + Test Bank: The General Securities Representative Examination
    • Wiley Series 9 Securities Licensing Exam Review 2019 + Test Bank: The General Securities Sales Supervisor ExaminationOption Module
    • Wiley Series 10 Securities Licensing Exam Review 2019 + Test Bank: The General Securities Sales Supervisor ExaminationGeneral Module
    • Wiley Series 24 Securities Licensing Exam Review 2019 + Test Bank: The General Securities Principal Examination
    • Wiley Series 26 Securities Licensing Exam Review 2019 + Test Bank: The Investment Company and Variable Contracts Products Principal Examination
    • Wiley Series 57 Securities Licensing Exam Review 2019 + Test Bank: The Securities Trader Examination
    • Wiley Series 63 Securities Licensing Exam Review 2019 + Test Bank: The Uniform Securities Agent State Law Examination
    • Wiley Series 65 Securities Licensing Exam Review 2019 + Test Bank: The Uniform Investment Adviser Law Examination
    • Wiley Series 66 Securities Licensing Exam Review 2019 + Test Bank: The Uniform Combined State Law Examination
    • Wiley Series 99 Securities Licensing Exam Review 2019 + Test Bank: The Operations Professional Examination

    For more on this series, visit the website at www.securitiesCE.com.

    Cover Design: Wiley
    Cover Image: Jumpeestudio/iStock.com

    Copyright 2019 by The Securities Institute of America, Inc. All rights reserved.

    Published by John Wiley & Sons, Inc., Hoboken, New Jersey.
    Previous editions published by The Securities Institute of America, Inc.
    Published simultaneously in Canada.

    No part of this publication may be reproduced, stored in a retrieval system, or transmitted in any form or by any means, electronic, mechanical, photocopying, recording, scanning, or otherwise, except as permitted under Section 107 or 108 of the 1976 United States Copyright Act, without either the prior written permission of the Publisher, or authorization through payment of the appropriate per-copy fee to the Copyright Clearance Center, Inc., 222 Rosewood Drive, Danvers, MA 01923, (978) 750-8400, fax (978) 646-8600, or on the Web at www.copyright.com. Requests to the Publisher for permission should be addressed to the Permissions Department, John Wiley & Sons, Inc., 111 River Street, Hoboken, NJ 07030, (201) 748-6011, fax (201) 748-6008, or online at http://www.wiley.com/go/permissions.

    Limit of Liability/Disclaimer of Warranty: While the publisher and author have used their best efforts in preparing this book, they make no representations or warranties with respect to the accuracy or completeness of the contents of this book and specifically disclaim any implied warranties of merchantability or fitness for a particular purpose. No warranty may be created or extended by sales representatives or written sales materials. The advice and strategies contained herein may not be suitable for your situation. You should consult with a professional where appropriate. Neither the publisher nor author shall be liable for any loss of profit or any other commercial damages, including but not limited to special, incidental, consequential, or other damages.

    For general information on our other products and services or for technical support, please contact our Customer Care Department within the United States at (800) 762-2974, outside the United States at (317) 572-3993 or fax (317) 572-4002.

    Wiley publishes in a variety of print and electronic formats and by print-on-demand. Some material included with standard print versions of this book may not be included in e-books or in print-on-demand. If this book refers to media such as a CD or DVD that is not included in the version you purchased, you may download this material at http://booksupport.wiley.com. For more information about Wiley products, visit www.wiley.com.

    ISBN 978-1-119-55309-0 (Paperback)
    ISBN 978-1-119-55310-6 (ePDF)
    ISBN 978-1-119-40317-5 (ePub)

    About the Series 63 Exam

    Congratulations! You are on your way to becoming a registered representative licensed to conduct securities business in all states that require the Series 63. The Series 63 exam will be presented in a 60-question multiple-choice format. Each candidate will have one hour and 15 minutes to complete the exam. A score of 72% or higher is required to pass.

    The Series 63 is as much a knowledge test as it is a reading test. The writers and instructors at The Securities Institute have developed the Series 63 textbook, exam prep software, and videos to ensure that you have the knowledge required to pass the test and to make sure that you are confident in the application of the knowledge during the exam.


    Picture 2 IMPORTANT EXAM NOTE

    The Series 63 exam is based on the provisions of the Uniform Securities Act not on any of the amendments enacted by any particular state or state securities administrator. The Uniform Securities Act may be referred to as the USA or as the Act. Test takers should treat these terms as interchangeable.


    Taking the Series 63 Exam

    The Series 63 exam is presented in multiple-choice format on a touch-screen computer known as the PROCTOR system. No computer skills are required, and candidates will find that the test screen works in the same way as an ordinary ATM. Each test is made up of 60 questions that are randomly chosen from a test bank containing several thousand questions. The test has a time limit of one hour and 15 minutes and is designed to provide enough time for all candidates to complete the exam. Each Series 63 exam will have five additional questions that do not count towards the final score. The Series 63 comprises questions that focus on the following areas:

    Including State-Registered and Federal Covered Advisers3 questions5%
    Regulation of Investment Adviser Representatives3 questions5%
    Regulations of Broker Dealers9 questions15%
    Regulations of Agents of Broker Dealers9 questions15%
    Regulation of Securities and Issuers3 questions5%
    Remedies and Administrative Provisions6 questions10%
    Communications with Customers and Prospects12 questions20%
    Ethical Practices and Obligations15 questions25%
    How to Prepare for the Series 63 Exam

    For most candidates, the combination of reading the textbook, watching the videos, and using the exam prep software is enough to successfully complete the exam. It is recommended that the candidate spend at least 30 hours preparing for the exam by reading the textbook, underlining key points, watching the video class, and completing as many practice questions as possible. We recommend that candidates schedule their exam no more than one week after completing their Series 63 exam prep.

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