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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