Our 3-day Series 6 & 63 Pre-licensing Course consists of instructor-led lessons, study manual and exam preparation.  Completion certificates are given once the required hours are completed.  Course topics covered include:

Series 6

Investment Securities

Securities Markets

Economic Factors

Investment Risk Factors

Suitability Factors

Investment Company Portfolio/Risk Characteristics

Investment Companies

Federal Income Tax Regulations for Mutual Funds

Customer Accounts

Contractual Plan/Periodic Payment Plan

Variable Contracts

Retirement Plans

General Industry Regulations

Regulations Related to Marketing/Prospecting

Rules Related to Sales Presentations/Materials

Rules Related to Transaction

·Subsequent and Ongoing Communication and Service

Series 63

Broker/Dealers

Agents

Other Persons

Initial, Renewal, Update, Termination when Required

Ongoing Requirements

Definitions

Registration

Exemptions

Federal Covered Securities

Communications with Clients & Prospects

Trade Practices

Compensation and Other Issues

Operating Procedures for the Administrator

Administrative Actions and Basis for Disciplinary Action

Other Penalties & Liabilities

Other Provisions

Pre-licensing Course length:  24 hours

Courses are provided at either our facility or yours*. 

*On-site courses are provided for larger classes or classes in areas outside of our area.

To view our 2012 Series 6 & 63 course schedule, click here.