Key Topics Explained
1. Understanding State Regulations
Each state has its own set of securities laws and regulations. Familiarity with these laws is essential for passing the FINRA 63 exam. Key topics include:
• Regulatory Agencies: Each state has a securities regulator that enforces compliance. Understanding their roles will help you navigate the legal landscape.
• Registration Requirements: Know the different registration processes for agents, broker-dealers, and investment advisers.
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