Series 63 Review Workshop

Series 63 State Law Exam Information: The Series 63 State Law exam is taken by brokerage firm sales representatives. The exam is constructed by the North American Securities Administrator Association (NASAA) and administered by FINRA. The exam is deemed a minimum competency exam for sales agents. The most recent Series 63 exam outline focuses more attention to ethics and appropriate business practices, with slightly less emphasis placed on security registration.  

To cover the 60 graded questions, the class/workshop reviews each topic section which includes ethical practices, state (& federal) level registration of firms & representatives, jurisdiction & powers of state administrator, new issue registration, on-boarding new customer accounts, and customer communication rules. The course runs approximately 3. 5 hours, and each student receives a copy of the our digital presentation. We are limiting the size of the class to allow time to address questions and to clarify concepts along the way. 

FAQs

Are there ID requirements limit to enter the event?
Students are invited to log into the class or tutoring session by email link, which is usually sent in advance. 

What are my transport/parking options getting to the event?
Not applicable since the advantage of web training is that it is immediately accessible from your office or home location.  

What can I bring to the event?
Please bring a notebook to record the instructor’s comments regarding the tested information.

Where can I contact the organizer with any questions?
Please contact the instructor, Matthew Crosson, by email: series24@icloud.com or call direct at 862-324-6092 

Is my registration/ticket transferable?
Generally no, since the students are invited to attend the the virtual class or virtual tutoring session via an email link.

What can I expect during the course?
The instructor will be speaking about the tested concepts, and the class presentation is pushed onto your computer screen. The class presentation is printable. During the study-session or class, students may ask questions verbally or via the chat channel.