The Series 63 Review Class/Workshop covers all of the tested topics. Each student receives a copy of the class presentation that encapsulates and explains state and federal (SEC) requirements.
The Series 63 exam overlaps in regard to ethical and prohibited practices typically seen on the Series 7 exam. In addition, the exam expects students to understand the registration requirements on state and federal level for Investment Advisers and for registered sales agents of brokerage firms. Other topic areas include the power of the state administrators and the various scenarios of security registration.