How to Create a Study Plan for FINRA 63 with DumpsBoss from FINRA Dumps's blog

Key Topics Covered in the FINRA 63 Exam

Understanding the content of the FINRA 63 exam is crucial for effective preparation. The exam covers several key topics:

1. State Securities Regulations
• Overview of state regulations and laws
• Registration requirements for agents and securities
2. Prohibited Practices
• Insider trading
• Fraudulent activities
• Misleading or deceptive practices
3. Customer Accounts
• Types of customer accounts
• Customer suitability and disclosures
• Know Your Customer (KYC) regulations
4. Investment Products
• Types of securities (stocks, bonds, mutual funds)
• Characteristics and risks of different investment products
5. Business Practices
• Ethical considerations in selling securities
• Responsibilities of securities agents

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