Free NASAA Series 63 (Uniform Securities Agent State Law Examination) Lessons

All 8 NASAA Series 63 (Uniform Securities Agent State Law Examination) lessons are free to read, each with worked examples. Just a free account, no card.

Adviser-Side Registration Under the USA

• Investment Advisers and IARs (18 min)

BD-Side Registration and Supervision

• Broker-Dealers and Their Agents (31 min)

State Regulation of Securities and Issuers

• Securities, Issuers, and State Authority (19 min)

Administrator Authority and Enforcement

• Administrative Remedies and Penalties (21 min)

Communications with Customers and Prospects

• Disclosures and Customer Agreements (20 min)
• Communications, Advertising, and Social Media (17 min)

Ethical Practices and Obligations

• Compensation, Custody, and Discretion (15 min)
• Conflicts, Insider Trading, and Vulnerable Adults (23 min)