Content outline
Map the eight Series 63 subject areas
Use the official weights to prioritize ethics, communications, registrations and state-law remedies.
Start with the two largest areas
Ethical Practices and Obligations account for 25% and Communication with Customers and Prospects for 20% of the scored exam.
Build the registration core
Broker-dealers are 12% and broker-dealer agents are 13%. Compare definitions, exclusions, registration triggers and prohibited activity.
Ethics25%
Communications20%
Agents13%
Broker-dealers12%
Remedies11%
Securities9%
Advisers5%
IARs5%
Separate products from people
Securities and issuers are 9%, while investment advisers and adviser representatives contribute 5% each.
Finish with regulator powers
Remedies and Administrative Provisions account for 11%, including investigations, orders, penalties and appeal concepts.