1. State Securities Acts and Regulations
You’ll need to be familiar with the Uniform Securities Act, which serves as the foundation for state securities laws. This includes understanding the registration<a href="https://dumpsboss.com/finra-exam/series-63/">Series 63 Practice Exam</a> requirements for securities and broker-dealers, as well as the rules for investment advisers. Key aspects include:
• Registration Requirements: Know the registration processes for broker-dealers, agents, investment advisers, and investment adviser representatives.
• Exemptions: Be aware of various exemptions from<a href="https://dumpsboss.com/finra-exam/series-63/">Series 63 Practice Exam</a> registration, including those for certain securities and transactions.
Harrie Beth 
