FINRA Series 63 Resources
Resources
Explore our free Series 63 cheat sheets, dump sheets, podcasts, videos, and in-depth articles to help you prepare for the FINRA Series 63 exam or quickly refresh your knowledge of the core fundamentals.
FINRA Series 63 resources
Achievable has you covered for the FINRA Series 63 exam. Check out our free Series 63 cheat sheets, dump sheets, and podcasts to help you prepare for the FINRA Series 63 exam or for a quick refresher on the Series 63 fundamentals.
Series 63 tutoring
Want one-on-one help with your studying? Check out Achievable's directory of FINRA Series 63 tutors.
Free full-length Series 63 practice exam
Free full-length Series 63 practice exam with 60 questions and detailed explanations.
Achievable's FINRA podcast
FINRA course author Brandon Rith and guests provide actionable tips and topic reviews to help you pass your FINRA exams.
Dump sheet: State laws, regulations (front)
Quick reference sheet ("cheat sheet") for the Series 63 covering state laws and regulations (front).
Dump sheet: State laws, regulations (back)
Quick reference sheet ("cheat sheet") for the Series 63 covering state laws and regulations (back).
Finance|able
Finance|able is an innovative finance training platform with intuitive, interactive courses that help you gain the skills you need to land the job and crush it when you hit the desk.
Series 63 videos
Watch 12 free Series 63 explainer videos on key topics from Achievable's FINRA Series 63 course. No sign-up needed.
What is common stock?
8:20
Common stock represents partial ownership in a company, profiting through capital appreciation or cash dividends, as seen with Netflix and McDonald's shares.
Agency vs. principal
4:32
Agency trades connect buyers and sellers for a commission, while principal (dealer) trades fill orders from the firm's own inventory with a markup or markdown.
Broker-dealer definitions
10:05
Broker-dealer's legal definition covers soliciting or effecting securities trades for others or one's own account, distinguishing broker and dealer roles.
Broker-dealer exclusions
14:48
Agents, issuers, and banks avoid the broker-dealer definition, unlike bank holding companies with a brokerage arm; also institution and vacation rules.
Broker-dealer registration
12:00
Form BD filings, consent to service of process, and net capital rules outline how a broker-dealer becomes registered, with registration effective but never approved on day 30.
Investment adviser (IA) definition
12:37
The investment adviser definition breaks into giving advice, doing so as a regular business, and receiving compensation, showing why the firm itself, not its human representatives, counts as the adviser.
Fed-covered investment advisers
14:04
Federal covered status is mandatory above $110 million in assets or when advising a registered investment company, with deregistration below $90 million.
Form ADV - Part 1
8:59
Form ADV Part 1 identifies an advisor to regulators, covering structure, custody, assets managed, and legal history, unlike outside business activities disclosed elsewhere.
Form ADV Part 2A (basics)
10:41
Form ADV Part 2A's brochure disclosures cover fees, client types, investment philosophy, and conflicts of interest, but not advisor representatives' salaries.
Form ADV Part 2A (real world)
10:41
Walks through a real investment advisor brochure section by section, from asset-based fees and non-discretionary accounts to conflicts of interest like recommending securities the advisor owns.
Form ADV Part 2B (basics)
8:47
Form ADV Part 2B discloses a representative's education, business history, disciplinary record, and outside or extra compensation creating conflicts of interest.
Form ADV Part 2B (real world)
6:10
Walks through a real brochure supplement, showing disclosed designations, outside accounting work as a conflict of interest, and self-supervision.
Series 63 articles
Explore in-depth FINRA Series 63 articles covering key topics and exam strategies.
What is suitability?: FINRA Rule 2111 explained
Discover the essentials of FINRA Rule 2111 and suitability, including key components and importance for the Series 7 exam.
Nailing the finance interview
Upgrade your finance interview skills and learn how to effectively communicate your enthusiasm and fit for your dream role.
Wealth management: Your first 90 days
Discover out how to make the most of your first three months as a financial advisor with this guide. Find out the importance of licensing and training in this fast-paced but regulated field.
What to expect on your first FINRA exam
Learn how to register for and take the Securities Industry Essentials (SIE) exam, the test that opens possibilities across finance.
How to break into finance with no experience: A step-by-step guide
Learn how to land your first job in finance, no matter your starting point. Find out how passing the Securities Industry Essentials (SIE) exam can boost your credentials.
Starting your career at a wirehouse: What to know
Learn what a wirehouse is, how to score a role at one, and what you can do to make your candidacy stand out.
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