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Series 63

Resources

FINRA Series 63 resources

Dump sheet: State laws, regulations (front)

Dump sheet: State laws, regulations (front)

Quick reference sheet ("cheat sheet") for the Series 63 covering state laws and regulations (front).

Dump sheet: State laws, regulations (back)

Dump sheet: State laws, regulations (back)

Quick reference sheet ("cheat sheet") for the Series 63 covering state laws and regulations (back).

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Video library

What is common stock?

What is common stock?

Common stock represents partial ownership in a company, profiting through capital appreciation or cash dividends, as seen with Netflix and McDonald's shares.

Agency vs. principal

Agency vs. principal

Agency trades connect buyers and sellers for a commission, while principal (dealer) trades fill orders from the firm's own inventory with a markup or markdown.

Broker-dealer definitions

Broker-dealer definitions

Broker-dealer's legal definition covers soliciting or effecting securities trades for others or one's own account, distinguishing broker and dealer roles.

Broker-dealer exclusions

Broker-dealer exclusions

Agents, issuers, and banks avoid the broker-dealer definition, unlike bank holding companies with a brokerage arm; also institution and vacation rules.

Broker-dealer registration

Broker-dealer registration

Form BD filings, consent to service of process, and net capital rules outline how a broker-dealer becomes registered, with registration effective but never approved on day 30.

Investment adviser (IA) definition

Investment adviser (IA) definition

The investment adviser definition breaks into giving advice, doing so as a regular business, and receiving compensation, showing why the firm itself, not its human representatives, counts as the adviser.

Fed-covered investment advisers

Fed-covered investment advisers

Federal covered status is mandatory above $110 million in assets or when advising a registered investment company, with deregistration below $90 million.

Form ADV - Part 1

Form ADV - Part 1

Form ADV Part 1 identifies an advisor to regulators, covering structure, custody, assets managed, and legal history, unlike outside business activities disclosed elsewhere.

Form ADV Part 2A (basics)

Form ADV Part 2A (basics)

Form ADV Part 2A's brochure disclosures cover fees, client types, investment philosophy, and conflicts of interest, but not advisor representatives' salaries.

Form ADV Part 2A (real world)

Form ADV Part 2A (real world)

Walks through a real investment advisor brochure section by section, from asset-based fees and non-discretionary accounts to conflicts of interest like recommending securities the advisor owns.

Form ADV Part 2B (basics)

Form ADV Part 2B (basics)

Form ADV Part 2B discloses a representative's education, business history, disciplinary record, and outside or extra compensation creating conflicts of interest.

Form ADV Part 2B (real world)

Form ADV Part 2B (real world)

Walks through a real brochure supplement, showing disclosed designations, outside accounting work as a conflict of interest, and self-supervision.

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