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The Uniform Securities State Law Examination, or the Series 63, is administered by the Financial Industry Regulatory Authority (FINRA) and is used to qualify individuals who Series 63 dump sheet want to work as securities agents. The exam tests an individual’s knowledge of state laws and regulations governing the offer and sale of securities.
While passing the Series 63 exam is mandatory for securities agents in most states, it is not a standaloneseries 63 dump sheet certification. Typically, professionals need to pass the Series 7 (General Securities Representative) exam or a similar qualification exam before taking the Series 63.-
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