Series 63 Exam Secrets Study Guide: Series 63 Test Review for the Uniform Securities Agent State Law Examination / Blue Sky Law Exam

***Includes Practice Test Questions*** Get the test prep help you need to be successful on the Series 63 test. The Series 63 Exam is extremely challenging and thorough test preparation is essential for success. Series 63 Exam Secrets Study Guide is the ideal prep solution for anyone who wants to pass the Series 63 Exam. Not only does it provide a comprehensive guide to the Series 63 Exam as a whole, it also provides practice test questions as well as detailed explanations of each answer. Series 63 Exam Secrets Study Guide includes: A detailed overview of the Series 63 Exam, An examination of registration of persons, A guide to regulation of investment advisers, An in-depth look at the regulation of broker-dealers, A breakdown of the regulations of securities and issuers, An extensive review of remedies and administrative provisions, A full study of communications with clients and prospects, An analysis of client funds and securities, A review of conflicts of interest and other fiduciary issues, Comprehensive practice questions with detailed answer explanations. It’s filled with the critical information you’ll need in order to do well on the test: the concepts, procedures, principles, and vocabulary that the North American Securities Administrators Association (NASAA) expects you to have mastered before sitting for the exam. The Registration of Persons section covers: Person, Regulated entities, Persons required to be registered. The Regulation of Investment Advisers section covers: Investment adviser, State filing obligations, Advertising limitations. The Regulation of Broker-Dealers section covers: Broker-dealer, Registration application, Exclusions allowing a legal person to not register wi