Post by cxgllc on May 1, 2019 23:51:25 GMT 12
The Series 63 is a securities exam and license entitling the holder to solicit orders for any type of security in a particular state. [Important: Agents must acquire the Series 63 license, in addition to a Series 7 or Series 6 license, to sell securities.
The exam was developed to qualify candidates who want to work in the securities industry within a state and to sell investment products, such as mutual funds, variable annuities, and unit investment trusts. The exam covers the principles of state securities regulations. Each state has its own securities regulations, called blue-sky laws, which were developed to regulate the sale of securities.
Financial Services Compliance | Series 24 General Securities Principal
The exam was developed to qualify candidates who want to work in the securities industry within a state and to sell investment products, such as mutual funds, variable annuities, and unit investment trusts. The exam covers the principles of state securities regulations. Each state has its own securities regulations, called blue-sky laws, which were developed to regulate the sale of securities.
Financial Services Compliance | Series 24 General Securities Principal