The Series 63 Exam top 10 focus areas include those that we see trip students up on a regular basis. If you’re looking for a quick list of where to focus your attention, we suggest you start here.
Our Series 63 Exam Top 10 Focus Areas
Here is our quick take on where you should focus (in no particular order):
- Securities vs. Not A Security
- Exempt Transactions vs. Nonexempt Transactions
- Exempt Securities vs. Nonexempt Securities
- Notice Filing, Qualification, Coordination
- IA vs. IAR
- State vs. Federally covered (securities, or IAs)
- Agents vs. BDs
- Form U-4, U-5, ADV Parts 1 & 2
- Offer or Offer to Sell
- Uniform Securities Act/Administrator
…Plus Ethics
Aside from the above, at Professional Exam Tutoring, we also recommend that you spend a lot of time on Ethics. The Ethics section is usually a little more straightforward for most people. We don’t get a lot of questions on it, but it still makes up a decent portion of the exam. This is also true for the Series 66 Exam and Series 65 Exam.
As a reminder, the exam is only 60 questions plus the number of experimental ones – these won’t be easily identifiable.
Without a lot of questions on the overall exam, every question counts. We recommend using Kaplan for this exam. At the time of this writing, Kaplan remains the best preparation tool that we’ve found (and we’ve spent six and a half years looking!).
Overall, the top 10 list above is quite important. The questions from these sections are less straightforward than other sections. This is precisely why we recommend that you focus here. This exam is not overly complicated, although it will try to trick you with a lot of wordplay. If you can get through the sections above with some proficiency, you will do just fine. Feel free to reach out if you have any questions. Good luck!