Syllabus
Series 63 Uniform Securities Agent State Law Exam Prep Course
49 lessons. Online and self-paced.
Investment Adviser Regulation
Three lessons distinguish investment advisers, exclusions, and state versus federal regulatory responsibilities.
- 1Investment Adviser Definition Tests
- 2Investment Adviser Definition Exclusions
- 3State and Federal Adviser Status
- 4Adviser Continuing Compliance Duties
Adviser Representative Regulation
Two lessons identify investment adviser representatives and determine their state registration obligations.
- 5Investment Adviser Representative Activities
- 6Representative State Registration Triggers
Broker-Dealer Regulation
Six lessons develop broker-dealer classification, registration, continuing obligations, and agent supervision.
- 7Broker-Dealer Definition and Exclusions
- 8Broker-Dealer State Registration Triggers
- 9Broker-Dealer Registration Application Requirements
- 10Broker-Dealer Continuing Registration Duties
- 11Agent Supervision and Escalation
- 12Federal and State Registration Boundaries
Broker-Dealer Agent Regulation
Six lessons distinguish agent activities, registration exclusions, application requirements, and continuing disclosure duties.
- 13Broker-Dealer Agent Definition Tests
- 14Issuer Representative Registration Exclusions
- 15Agent Multistate Registration Requirements
- 16Agent Applications and Effective Registration
- 17Uniform Form Disclosure Updates
- 18Agent Employment and Registration Changes
Securities and Issuer Regulation
Four lessons classify securities and issuers, select registration pathways, and distinguish exemptions from antifraud protection.
- 19Securities and Issuer Classification
- 20State Securities Registration Pathways
- 21Exempt Securities and Exempt Transactions
- 22Offering Exemptions and Antifraud Enforcement
Administrative Powers and Remedies
Five lessons connect state jurisdiction, investigative powers, administrative proceedings, and civil or criminal consequences.
- 23State Jurisdiction Over Securities Activity
- 24Administrator Investigations and Rulemaking
- 25Registration Denial and Disciplinary Orders
- 26Civil Liability and Rescission Remedies
- 27Criminal Liability and SIPC Protection
Customer Communications and Agreements
Ten lessons develop compliant product explanations, registration representations, account agreements, and communications across media.
- 28Material Product Risk Disclosures
- 29Offering Documents and Product Comparisons
- 30Registration and Regulatory Approval Claims
- 31Performance Guarantees and Return Claims
- 32New Account Agreements and Disclosures
- 33Margin Account Agreements and Risks
- 34Options Account Agreements and Disclosures
- 35Advertising Content and Performance Presentations
- 36Email Messaging and Correspondence Controls
- 37Social Media and Website Compliance
Ethical Practices and Obligations
Twelve lessons apply compensation standards, customer asset safeguards, trading authority, and prohibitions against abusive conduct.
- 38Compensation Reasonableness and Disclosure
- 39Customer Funds and Securities Safeguards
- 40Trading Authorization and Discretionary Authority
- 41Applicable Standards of Customer Care
- 42Excessive Trading and Account Abuse
- 43Customer Loans and Account Profit Sharing
- 44Selling Away and Outside Securities Accounts
- 45Insider Trading and Information Misuse
- 46Market Manipulation and Deceptive Transactions
- 47Vulnerable Adult Exploitation Response
- 48Other Fraudulent and Unethical Conduct
- 49Investment Company Sales Abuses