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
- Investment
Products
- Types
of securities (stocks, bonds, mutual funds)
- Characteristics
and risks of different investment products
- Business
Practices
- Ethical
considerations in selling securities
- Responsibilities
of securities agents
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