Wiley Series 63 Exam Review 2016 + Test Bank: The Uniform Securities Examination (Wiley FINRA)

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 2016 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 you're prepared mentally and strategically to take the test. Wiley Series 63 Exam Review 2016 is your ticket to passing the Series 63 test on the first try--with flying colors!;Series; Title Page; Copyright; About the Series 63 Exam; Taking the Series 63 Exam; How to Prepare for the Series 63 Exam; How Much Has the Series 63 Exam Changed?; Why Do I Need to Take the Series 63 Exam?; What Score Is Needed to Pass the Exam?; Are There Any Prerequisites for the Series 63?; How Do I Schedule an Exam?; What Must I Take to the Exam Center?; How Soon Will I Receive the Results of the Exam?; About This Book; About the Test Bank; About The Securities Institute of America; Chapter 1: Federal Law Review; The Securities Act of 1933; The Prospectus; The Final Prospectus. Series Title Page Copyright About the Series 63 Exam Taking the Series 63 Exam How to Prepare for the Series 63 Exam How Much Has the Series 63 Exam Changed? Why Do I Need to Take the Series 63 Exam? What Score Is Needed to Pass the Exam? Are There Any Prerequisites for the Series 63? How Do I Schedule an Exam? What Must I Take to the Exam Center? How Soon Will I Receive the Results of the Exam? About This Book About the Test Bank About The Securities Institute of America Chapter 1: Federal Law Review The Securities Act of 1933 The Prospectus The Final Prospectus. MisrepresentationsThe Securities Exchange Act of 1934 Net Capital Requirement Customer Coverage Fidelity Bond The Insider Trading and Securities Fraud Enforcement Act of 1988 Firewall The Telephone Consumer Protection Act of 1991 National Securities Market Improvement Act of 1996 The Uniform Securities Act The Uniform Prudent Investors Act of 1994 Chapter 2: Definition of Terms Security Person Broker Dealer Pension Consultants Investment Counsel Form ADV Investment Adviser Registration Database (IARD) Investment Adviser Representative Offer/Offer to Sell/Offer to Buy. Sale/SellGuarantee/Guaranteed Contumacy Federally Covered Exemption Power of attorney Pretest Chapter 3: Registration of Broker Dealers, Investment Advisers, and Agents Registration of Broker Dealers and Agents Agent Registration Registering Broker Dealers Financial Requirements Broker Dealers on the Premises of Other Financial Institutions Registering Agents Canadian Firms and Agents Investment Adviser Registration The National Securities Market Improvement Act of 1996/The Coordination Act Investment Adviser Representative Investment Adviser Registration Capital Requirements. ExamsAdvertising and Sales Literature Brochure Delivery Wrap Accounts Pretest Chapter 4: Securities Registration, Exempt Securities, and Exempt Transactions Exempt Securities Securities Registration Registration of IPOs Through Coordination Registration Through Notice Filing Registration of Non-Established Issuers/Registration Through Qualification Exempt Securities/Federally Covered Exemption Exempt Transactions Pretest Chapter 5: Professional Conduct and Prohibited and Fraudulent Actions Fraud Professional Conduct Suitability Market Manipulation Customer Complaints. The Role of the Investment AdviserAdditional Compensation for an Investment Adviser Agency Cross Transactions Disclosures by an Investment Adviser Investment Adviser Contracts Private Investment Companies/Hedge Funds Fulcrum Fees Soft Dollars Borrowing and Lending Money Pretest Chapter 6: The State Securities Administrator and the Uniform Securities Act Actions by the State Securities Administrator Cancellation of a Registration Withdrawal of a Registration Actions Against an Issuer of Securities Rule Changes Administrative Orders Interpretive Opinions Administrative Records. 'Wiley Series 63 Exam Review' prepares candidates for the uniform securities examination, which qualifies a securities agent. The book addresses ethical practices, fiduciary obligations, and state securities acts and related rules. Candidates will gain access to an online test bank for each chapter and thorough preparation for the FINRA exam. The goCoto 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 2016 arms you with everything you need to pass this challenging 60Coquestion test. Designed to help you build and fineCotune your knowledge of all areas covered in the exam and to guarantee that youCore 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 testCotaking tips and strategies Helpful hints on how to study for the test, manage stress, and stay focused Wiley Series 63 Exam Review 2016 is your ticket to passing the Series 63 test on the first try with flying colors!