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It also includes 5 additional experimental questions that do not count for or against the score.","Answer",{"name":116,"@type":111,"acceptedAnswer":117},"Which chapters are covered under the exam’s topic breakdown?",{"text":118,"@type":114},"Topics include regulation of securities and issuers, regulation of broker-dealers and their agents, communication with customers and prospects, ethical practices and obligations, remedies and administrative provisions, and adviser regulation under state and federal covered adviser rules.",{"name":120,"@type":111,"acceptedAnswer":121},"What study guidance is provided for exam attempts and scoring?",{"text":122,"@type":114},"The handout recommends completing exams with explanations shown before a second attempt. For the second attempt, explanations are turned off, and scores of 80% or higher indicate adequate retention. 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Regulation of Investment Advisers Including State-Registered and Federal Covered Advisers (Chapter 4) | |\n| 2. Regulation of Investment Adviser Representatives (Chapter 4) | 3 |\n| 3. Regulation of Broker-Dealers (Chapter 3) | 9 |\n| 4. Regulation of Agents of Broker-Dealers (Chapter 3) | 9 |\n| 5. Regulation of Securities and Issuers (Chapter 2) | 3 |\n| 6. Remedies and Administrative Provisions (Chapter 7) | 6 |\n| 7. Communication with Customers and Prospects (Chapter 6) | 12 |\n| 8. Ethical Practices and Obligations (Chapters 5 and 6) | 15 |\n\n© Copyright 2019. All Rights Reserved.  \nThe following presentation is owned by Securities Training Corporation and is protected by the United States Copyright Law and applicable international, federal, state, and local laws and treaties. The presentation is made available to you for your personal, non-commercial use as a study tool to assist you in preparing for the related examination and no other purpose. ALL OTHER RIGHTS ARE EXPRESSLY RESERVED.  \nAny other use by you, including but not limited to, the reproduction, distribution, transmission or sharing of all or any portion of the presentation, without the prior written permission of Securities Training Corporation in each instance,  \n800-782-1223 􀂵 [stcusa.com](stcusa.com) 1  \nSTC Study Material  \n7 Chapter Study Manual  \n7 Final Examinations  \n􀂃 65-question comprehensive exams  \n􀂃 Complete explanations provided  \n• First attempt  \n‒ Select “Show Explanations”  \n‒ Complete all exams with explanations shown before beginning the second attempt  \n• Second attempt  \n‒ Turn “Show Explanations” Off  \n‒ Scores of 80% or higher indicate adequate retention  \n• Create Custom Exams  \n‒ Provides specific support by topic  \n‒ Allows students to focus on areas of weakness  \n[2 stcusa.com](2 stcusa.com) 􀂵 800.782.1223  \nChapter 1 – Overview  \nTerms  \nUniform Securities Act (USA)  \n􀂃 Blue-Sky laws  \n􀂃 A model law – not the actual law of any state  \n􀂃 Exam doesn’t address state amendments  \nState Administrator (sometimes called Commissioner)  \n􀂃 Uses rules, orders, and laws to enforce the USA  \nNorth American Securities Administrators Association (NASAA)  \n􀂃 Responsible for updating the USA through various NASAA Model Rules and Statements of Policy  \nTerms  \nNational Securities Markets Improvement Act (NSMIA)  \n􀂃 Reduced duplication of federal and state regulation  \n􀂃 Defined Federal Covered Securities and Federal Covered Advisers that are now exempt from state regulation  \nPerson:  \nFederal Covered Securities and Federal Covered Advisers include nationally recognized securities and advisers with a significant amount of assets under management  \n􀂃 An individual, corporation, partnership, unincorporated organization, government or political subdivision of a government, and certain trusts (any legal entity)  \n􀂃 The term does NOT include minors, anyone declared mentally incompetent, or a deceased person  \nState:  \n􀂃 Any state, territory or possession of the U.S. , including the District of Columbia and  \nPuerto Rico  \n800-782-1223 􀂵 [stcusa.com](stcusa.com) 3  \nFinancial Firms  \nExecutes transactions for commissions  \nA – B – C Test:  \nAdvice, Business, Compensation  \nMust register with state Administrator, FINRA, and the SEC  \nMust register with state Administrator and FINRA  \nMust register with state Administrator, or the SEC  \nMust register with state Administrator  \nActivity \\#1  \nRead each statement and determine whether it’s TRUE or FALSE.  \n[4 stcusa.com](4 stcusa.com) 􀂵 800.782.1223  \nChapter 2 – State Registration of Securities  \nIs the Instrument/Investment a Security?  \n􀂃 Stocks (including treasury stock)  \n􀂃 Notes, bonds, and debentures  \n􀂃 Rights and w","cbCainzsvDSxZwK8","https://ap.wps.com/l/cbCainzsvDSxZwK8","pdf",1241708,33,"English","# About the Series 63 Exam\n## Exam Format and Question Allocation\n## Study Material and Attempt Options\n# Chapter 1 – Overview\n## Key Terms and Definitions\n## Financial Firms and Registration Requirements\n# Chapter 2 – State Registration of Securities\n## Is the Instrument a Security?\n## General Registration Provisions\n## Methods of Securities Registration","[{\"question\":\"How many questions are on the Series 63 exam, and how is time allocated?\",\"answer\":\"The exam uses 60 multiple-choice questions, with 1 hour and 15 minutes allocated to complete it. It also includes 5 additional experimental questions that do not count for or against the score.\"},{\"question\":\"Which chapters are covered under the exam’s topic breakdown?\",\"answer\":\"Topics include regulation of securities and issuers, regulation of broker-dealers and their agents, communication with customers and prospects, ethical practices and obligations, remedies and administrative provisions, and adviser regulation under state and federal covered adviser rules.\"},{\"question\":\"What study guidance is provided for exam attempts and scoring?\",\"answer\":\"The handout recommends completing exams with explanations shown before a second attempt. For the second attempt, explanations are turned off, and scores of 80% or higher indicate adequate retention. It also supports creating custom exams by topic to focus on weaker areas.\"}]","Series 63 Classroom One 4-Hour Session - Chapter Study Manual - Exam Preparation | PDF",1790338681,83]