a. State Securities Regulation (70% of the Exam)

This section focuses on the regulations that govern securitiesSeries 63 dump sheet  within individual states. Topics include the powers of state administrators, registration of securities, broker-dealer regulations, and anti-fraud provisions.

b. Ethics and Business Practices (30% of the Exam)

This section evaluates your knowledge of ethical practices and how they relate to the securities industry. The questions cover fiduciary responsibilities, the proper handling of client accounts, and other ethical obligations that financial professionals must uphold.

3. Preparation for the Series 63 Exam

Like any regulatory exam, the Series 63 requires preparation. However, because it focuses on state-specific laws and ethical standards, you’ll need a study Series 63 dump sheet plan that goes beyond just memorizing facts. Below are several strategies to ensure you are well-prepared.