NASAA Series 63 & Series 65 Exam Prep
Master NASAA Series 63 & 65: Your Comprehensive Path to State Securities Licensure Success
This intensive course prepares you thoroughly for both the NASAA Series 63 and Series 65 exams, administered by FINRA. We cover all critical topics, from Uniform Securities Act regulations to advanced portfolio management, ensuring you grasp the core principles and intricacies. Success in these exams is crucial for professionals advising on securities within state jurisdictions, and our curriculum is designed for optimal retention and application. This course is preparation and education only; it does not itself award a licence or credential, and requirements are set by the official exam body and, where applicable, your state. Every lesson includes tutor notes, an applied lab, worked exercises and a 12-question quiz you must pass at 80%, followed by a pooled final exam and free and paid practice tests.
Curriculum
One complete track with its own final exam and certificate.
Eight modules covering the full Series 63 & 65 exam content, from foundations to exam readiness.
Dive deep into the foundational Uniform Securities Act, covering definitions, registration requirements, and prohibited practices. This module establishes the legal framework for state securities regulation, crucial for both exams.
- 1.1 Introduction to the Uniform Securities Act (USA) Lab75 min
- 1.2 Definitions under the USA (Person, Broker-Dealer, Agent) Lab75 min
- 1.3 Investment Adviser (IA) & Investment Adviser Representative (IAR) Definitions Lab75 min
- 1.4 Registration Requirements for BDs, Agents, IAs, and IARs Lab75 min
- 1.5 Exemptions from Registration (Securities & Transactions) Lab75 min
- 1.6 Administrator's Powers & Prohibited Practices Lab75 min
Careers this prepares you for
- Investment Adviser Representative
- Financial Advisor
- Wealth Associate