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Let Brian Lee, one of the most dynamic instructors in the country, take you through everything you need to know to pass your Series 63 the first time. We understand! We’ve read those textbooks too!
Course Curriculum
Module 1 State and Federal Regs.
- Introduction (12:41)
- Downloadable Series 63 Quicknotes
- Persons, Broker/Dealers, Agents (27:32)
- Lesson 2 – Investment Advisers (21:56)
- Lesson 3 – Investment Adviser Reps. (5:11)
- Definition of Persons Worksheet
- Lesson 4 – Registration Procedures (U.S.A.) (22:57)
- Lesson 5 – Securities, Exemptions, Exempt Transactions (25:43)
- Lesson 6 – Administrator’s Provisions (20:31)
Module 2 – Unethical Behavior of B/D’s, Agents, IA’s and IAR’s
- Lesson 1 – Statement of Policy of Unethical Practices (28:16)
- Lesson 2 – Closing (1:24)
Final Exam
- Practice Final
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