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Wiley Series 63 Exam Review 2014 + Test Bank The Uniform Securities Examination,9781118719541
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Wiley Series 63 Exam Review 2014 + Test Bank The Uniform Securities Examination

by Unknown
Edition:
2nd
ISBN13:

9781118719541

ISBN10:
1118719549
Format:
Paperback
Pub. Date:
12/16/2013
Publisher(s):
Wiley
List Price: $79.95

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Summary

The go-to guide to acing the Series 63 Exam!

Passing the Uniform Securities Agent State Law Examination (Series 63) qualifies an individual to act as a securities agent. The exam covers the principles of state securities regulation as reflected in the Uniform Securities Act and its amendments and related rules, as well as ethical practices and fiduciary obligations. Many states require an agent to pass the Series 63 exam in addition to the Series 6, 7 or 62 exams to conduct securities business within the state.

Created by the experts at The Securities Institute of America, Inc., Wiley Series 63 Exam Review 2014 arms you with everything you need to pass this challenging 60-question test. Designed to help you build and fine-tune your knowledge of all areas covered in the exam and to guarantee that you're prepared mentally and strategically to take the test, it provides:

  • Dozens of examples
  • Assorted practice questions for each subject area covered in the exam
  • Priceless test-taking tips and strategies
  • Helpful hints on how to study for the test, manage stress, and stay focused

Wiley Series 63 Exam Review 2014 is your ticket to passing the Series 63 test on the first try—with flying colors!

Visit www.wileysecuritieslicensing.com for more information.

The Securities Institute of America, Inc. helps thousands of securities and insurance professionals build successful careers in the financial services industry every year. Our securities training options include:

  • Onsite classes
  • Private tutoring
  • Classroom training
  • Interactive online video training classes
  • State-of-the-art exam preparation software
  • Printed textbooks
  • Real-time tracking and reporting for managers and training directors

As a result, you can choose a securities training solution that matches your skill level, learning style, and schedule. Regardless of the format you choose, you can be sure that our securities training courses are relevant, tested, and designed to help you succeed. It is the experience of our instructors and the quality of our materials that make our courses requested by name at some of the largest financial services firms in the world.

Table of Contents

ABOUT THE SERIES 63 EXAM IX

ABOUT THIS BOOK XIII

ABOUT THE TEST BANK XV

ABOUT THE SECURITIES INSTITUTE OF AMERICA XVII

CHAPTER 1 FEDERAL LAW REVIEW 1

The Securities Act of 1933 1

The Prospectus 2

The Final Prospectus 2

Misrepresentations 3

The Securities Exchange Act of 1934 3

Net Capital Requirement 7

Customer Coverage 7

Fidelity Bond 8

The Insider Trading and Securities Fraud Enforcement Act of 1988 8

Firewall 9

The Telephone Consumer Protection Act of 1991 9

National Securities Market Improvement Act of 1996 10

The Uniform Securities Act 11

The Uniform Prudent Investors Act of 1994 11

CHAPTER 2 DEFINITIONS OF TERMS 13

Security 13

Person 15

Broker Dealer 16

Pension Consultants 18

Form ADV 18

Investment Adviser Representative 19

Offer/Offer to Sell/Offer to Buy 21

Sale/Sell 21

Guarantee/Guaranteed 22

Contumacy 22

Federally Covered Exemption 22

Pretest 23

CHAPTER 3 REGISTRATION OF BROKER DEALERS, INVESTMENT ADVISERS, AND AGENTS 29

Registration of Broker Dealers and Agents 29

Agent Registration 30

Registering Broker Dealers 31

Financial Requirements 32

Broker Dealers on the Premises of Other Financial Institutions 32

Registering Agents 32

Canadian Firms and Agents 34

Investment Adviser Registration 34

The National Securities Market Improvement Act of 1996/The Coordination Act 35

Investment Adviser Representative 36

Investment Adviser Registration 36

Capital Requirements 37

Exams 37

Advertising and Sales Literature 38

Brochure Delivery 39

Wrap Accounts 39

Pretest 41

CHAPTER 4 SECURITIES REGISTRATION, EXEMPT SECURITIES, AND EXEMPT TRANSACTIONS 47

Exempt Securities 47

Securities Registration 48

Registration of IPOs Through Coordination 48

Registration Through Notice Filing 49

Registration of Non-Established Issuers/Registration Through Qualification 49

Exempt Securities/Federally Covered Exemption 51

Exempt Transactions 52

Pretest 57

CHAPTER 5 PROFESSIONAL CONDUCT AND PROHIBITED AND FRAUDULENT ACTIONS 63

Fraud 63

Professional Conduct 64

Suitability 64

Market Manipulation 66

Customer Complaints 67

The Role of the Investment Adviser 67

Additional Compensation for an Investment Adviser 68

Agency Cross Transactions 68

Disclosures by an Investment Adviser 68

Investment Adviser Contracts 70

Private Investment Companies/Hedge Funds 70

Soft Dollars 70

Pretest 73

CHAPTER 6 THE STATE SECURITIES ADMINISTRATOR AND THE UNIFORM SECURITIES ACT 81

Actions by the State Securities Administrator 81

Cancellation of a Registration 82

Withdrawal of a Registration 83

Actions Against an Issuer of Securities 83

Rule Changes 83

Administrative Orders 83

Interpretive Opinions 84

Administrative Records 84

Investigations 85

Civil and Criminal Penalties 85

Jurisdiction of the State Securities Administrator 86

Administrator’s Jurisdiction over Securities Transactions 86

Right of Rescission 88

Statute of Limitations 89

Pretest 91

ANSWER KEYS 97

GLOSSARY OF EXAM TERMS 105

INDEX 171



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