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I passed the Series 63 first try. Ask me anything now that my memory is fresh! Here are some of my observations: Format: The bell curve is real. From 1 to 15, pretty easy, 16-45 more difficult and 45 to 65, easier. It is hard to tell which questions are experimental.
- Series 63 Exam Background
- Who Is Nasaa?
- History of The Exam
- Federal and State Law
- Series 63 Structure
- Exam Terminology
- That Word "Exempt"
- Common Test Issues
- Recommendations
- The Bottom Line
The Uniform Securities Act is at the heart of the Series 63 exam. The act is not a federal law, it's a set of state laws based on a model created by an organization of people who administer securities laws within the states. The organization responsible for the Series 63 (as well as the Series 65 and 66 exams) is the North American Securities Admin...
NASAA, as the name indicates, is an organization of securities administrators. The term administrator is a generic title used to indicate the person who is responsible for enforcing the Uniform Securities Act in a state. In various states, this person is called "commissioner," "director" or "secretary of state for securities." NASAA, as an organiza...
The first version of the Uniform Securities Act that gained broad acceptance by the states was drafted by the Uniform Law Commissioners in 1956. This version of the law still forms the foundation for most of the state laws and for the Series 63 exam. It is a template of uniform securities laws that enables states to form laws that suit their indivi...
A couple of the more recent Federal laws that have had a dramatic impact on the USA are the National Securities Markets Improvement Act of 1996 (NSMIA) and the Gramm-Leach-Bliley Act of 1999(GLBA). In the NSMIA, Congress preempted significant parts of a state's power to duplicate federal regulation. For example, it prohibits a state from subjecting...
Series 63 candidates should be aware of the following initial challenges: 1. Although there are three versions of the Uniform Securities Act, as mentioned above, only one of them, the 1956 Uniform Securities Act is relevant to the Series 63 exam. The 2002 version of this act may be more relevant to today's world, but so far, it has only been adopte...
Let's look a bit more closely at the situation. The USA and the Rules of NASAA, in their essential form, state the following: 1. Agents: What most people call "registered representatives" will be referred to as "agents" for the Series 63 exam. They must be registered with the state. 2. Broker-Dealers: Must be registered with the state. 3. Investmen...
Many of the problems a candidate will face come in the form of exceptions, exclusions, and exemptions. The following are a couple of hints on how to handle those terms. Terminology is often a difficulty cited by those who have taken the Series 63. A word that frequently causes confusion is "exempt." Merriam-Webster Online says that exempt is "free ...
There are other difficulties that come up repeatedly when people take the Series 63 exam. These tips should help you plan for these eventualities.
Overcoming the common problems faced by Series 63 candidates can be the key to succeeding on the exam.
The Series 63 can be a difficult exam, but if you wish to be a securities agent, you will need to pass it. The information covered focuses on the principles of state securities regulation as detailed in the Uniform Securities Act. With adequate preparationand a little know-how, you can increase your chances of passing the Series 63 exam on the firs...
May 7, 2020 · How hard is the Series 63 exam? Expect the Series 63 to be challenging, mainly because of the short amount of time you have to complete the questions. You only have 75 minutes, so if you spend more than a minute and 15 seconds on each question, you can fall behind quickly.
Jan 15, 2014 · While some users emphasized that the Series 63 exam was not difficult, many stressed the need to study and work through a few practice exams. While there is a no official pass / fail rate released, a previous study suggested that around 14% of candidates fail the exam on their first attempt. Series 63 Study Method.
The Series 63 exam — the Uniform Securities State Law Examination — is a North American Securities Administrators Association (NASAA) exam administered by FINRA.The exam consists of 60 scored questions and 5 unscored questions. Candidates have 75 minutes to complete the exam.
Jul 30, 2020 · Key Takeaways. Applicants to the Series 63 license must pass an exam and possess knowledge of ethical practices and fiduciary obligations. Most U.S. states require all potential registered...
- Julia Kagan
- 1 min
Mar 19, 2024 · Is the Series 63 hard? The Series 63 is considered medium difficulty in the FINRA and NASAA licensing exam series, comparable to the FINRA Series 6 but a little easier than the FINRA Series 7 or NASAA Series 65 and 66 exams. That said, the Series 63 can be challenging due to several factors.
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Essential study materials to help you pass your exam. Pass Your Series 63 Exam With Our Practice Questions, Courses, Study Guides & Videos.
Pass Perfect virtual online prep classes for the Series 63 exam - A value at only $179! Study guides, questions bank, & virtual online classes, buy now & prepare to pass
For a Limited Time, Use Promo Code ADVANCE to Save 15% on Securities Licensing Exam Prep. Study Options Include OnDemand and Live Online Classes or Online Self-Study.
