State Securities Regulations: Understand the laws and regulations governing securities in different states.
Registration of Securities: Know the requirements for registering securities and the different exemptions available.
Sales Practices: Familiarize yourself with FINRA 63 ethical sales practices and how to avoid fraud.
Customer Accounts: Learn about different types of accounts and how to handle customer transactions.
Study Materials
Recommended Resources
To prepare effectively for the FINRA 63 exam, consider the following resources:
Official FINRA Materials: Utilize the materials provided by FINRA, which can include content outlines and sample questions.
Prep Courses: Enroll in a FINRA 63 exam prep course. Many online providers offer comprehensive courses that include study guides, practice exams, and personalized feedback.
Study Guides: Invest in a reputable study guide that covers all the exam topics in detail. Look for guides that include practice questions and real-world scenarios.
Practice Exams: Take advantage of practice exams to familiarize yourself with the exam format and question types. This can significantly boost your confidence.
Creating a Study Plan
To maximize your study efforts, create a structured study plan:
Assess Your Current Knowledge: Take FINRA 63 a diagnostic test to identify your strengths and weaknesses.
Set a Timeline: Decide how many weeks you’ll dedicate to studying. A typical timeframe is 4-8 weeks.
Daily Study Goals: Break your study sessions into manageable daily goals, focusing on specific topics each day.
Regular Review: Allocate time each week to review what you’ve learned to reinforce your understanding.
