. Uniform Securities Act (USA)
The Uniform Securities Act is a foundational component of Series 63 Practice Exam the Series 63 Exam. Candidates must be familiar with its provisions, including:
- Registration Requirements: Knowledge of the registration processes for broker-dealers, agents, investment advisers, and their representatives.
- Exemptions: Understanding various exemptions from registration and the conditions under which they apply.
Fraudulent Practices: Awareness of practices Series 63 Practice Exam deemed fraudulent or deceptive under the Act.
- State Securities Laws
Each state has its own set of securities laws and regulations. Key areas to focus on include:
