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.
Are there ID requirements or an age limit to enter the event?
ID is required to enter to check into the building at receptionist desk on the left as you enter.
What are my transport/parking options getting to the event?
NYC subways that are nearby include the 1,3, 4, 5 and R Trains. Please check the NYC subway map online or at the station. The building is located south of the NYSE building.
What can/can't I bring to the event?
Please bring a notebook; We provide each student with a copy of the course presentation.
Where can I contact the organizer with any questions?
Please contact the instructor, Matthew Crosson, by email: firstname.lastname@example.org or call at 862-324-6092
Is my registration/ticket transferrable?
Generally no, since the attendance list is finalized and printed for the receptionist.
Do I have to bring my printed ticket to the event?
Yes, but as long as your name is on the list of attendees, you can enter with proper ID.