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Series 63 Exam: Study Guide & Practice

Course Summary

This information-packed study guide is designed to give you a thorough review of everything you need to know for your Series 63 exam. With engaging videos, easy-to-read texts, and worksheets to reinforce learning, you're sure to make steady progress in your studies.
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5 chapters in Series 63 Exam: Study Guide & Practice

Week {{::cp.getGoalWeekForTopic(4, 5)}}
Ch 5. Ethical Practices & Obligations in the Securities Industry {{cp.topicAssetIdToProgress[655209].percentComplete}}% complete
Course Progress Best Score
Lesson 1 - Suitability in the Securities Industry: Definition & Requirements Score: {{cp.lessonAssetIdToProgress[641859].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[641859].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[641859].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[641859].bestScoreQuestions}}  Take Quiz Optional
Lesson 2 - What Is Excessive Trading? - Definition, Risks & Ethical Issues Score: {{cp.lessonAssetIdToProgress[655217].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[655217].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[655217].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[655217].bestScoreQuestions}}  Take Quiz Optional
Lesson 3 - Securities Fraud & Insider Trading: Definition, Regulations & Penalty Score: {{cp.lessonAssetIdToProgress[14933].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[14933].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[14933].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[14933].bestScoreQuestions}}  Take Quiz Optional
Lesson 4 - The Insider Trading and Securities Fraud Enforcement Act of 1988 Score: {{cp.lessonAssetIdToProgress[655219].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[655219].bestScoreQuestions}}  Take Quiz Optional
Score: {{cp.lessonAssetIdToProgress[655219].bestScoreCorrect}}/{{cp.lessonAssetIdToProgress[655219].bestScoreQuestions}}  Take Quiz Optional

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Practice Tests in this course
Course Practice Test
Series 63 Exam: Study Guide & Practice
Not Taken
More practice by chapter
Ch. 2
Regulation of Investment Advisors
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Ch. 4
Regulation of Issuers & Securities Registration
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