3. Ethical Practices
Ethics play a crucial role in maintaining the integrity of the Series 63 Practice Exam securities industry. Key ethical considerations include:
• Conflicts of Interest: Awareness of situations that may present conflicts of interest and how to address them.
Fiduciary Duties: Understanding the fiduciary Candidates should be well-versed in the processes for:
• Filing and Updating Registrations: Procedures for filing Series 63 Practice Exam initial and renewal registrations, as well as updating information.
• Disclosure Obligations: Understanding the information that must be disclosed to clients and regulators.
responsibilities of securities agents and advisers.
4. Registration and Disclosure Requirements