Sign In
User blogs
Tag search results for: "finra 63"
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:
State
Securities Regulations
Overview
of state regulations and laws
Registration
requirements for agents and securities
Prohibited
Practices
Insider
trading
Fraudulent
activities
Misleading
or deceptive practices
Customer
Accounts
Types
of customer accounts
Customer
suitability and disclosures
Know
Your Customer (KYC) regulations
... more
