Description

TM Hog's Series 63 Practice Exams and Study Guide will help investment professionals pass the Uniform Securities Agent State Law Examination. The book contains four practice exams and a study guide covering 1) state securities acts and related rules and regulations and 2) ethical practices and fiduciary obligations. The sample questions are the type that are most likely to appear on the Series 63 test and are in the same format as those on the exam. The questions are straightforward multiple-choice questions with four choices and one best answer.

Part I of this book contains the sample exams with a total of 240 questions, the equivalent of four complete 60-question Series 63 tests. Each 60-question practice test is followed by the answer key. After the answer key, the practice exam is displayed with the answers shown. The questions by topic are in the same proportion as the topic weightings on the Series 63 test.

Part II of this book has a study guide in outline form. There is a section for each topic covered on the Series 63 test, including regulation of investment advisors, investment adviser representatives, broker-dealers, agents of broker-dealers; regulation of securities and issuers; remedies and administrative provisions, communication with customers and prospects, and ethical practices and obligations.