Series 63 study plan – How long to study for series 63 exam 2023

Series 63 study plan

Hi, and welcome to yet another informative guide on the Series 63 study plan. This article is the second in our Series 63 articles series. In this article, you’ll find a downloadable Series 63 study calendar for different timeframes: one, three, six, and twelve months. Other free series 63 study materials: The calendar you download … Read more

Series 63 Module 7 – Obligations and ethical practices

Series 63

The Uniform Securities Act exists for two main purposes. Firstly, it brings about state securities law uniformity.  Secondly, it protects the public by ensuring industry players act ethically.   This section looks specifically at the obligations that those in the industry have to act ethically.  Part of that is understanding what constitutes unethical business practices and … Read more

Series 63 Module 6 – Customer and prospects communication

Series 63

When someone first shows interest in the services of a broker-dealer, for example, they aren’t considered a customer, but first, a prospect. This is important because it impacts what they can be told as they move through the various stages. This is to protect them and the securities professional they deal with.  Regulatory authorities can … Read more