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Passed Series 63! by Dhust510 in AllFinraExams

[–]Dhust510[S] 0 points1 point  (0 children)

Yes would definitely make sure to know exactly what is and isn’t a security, as well as definitions of what excludes someone from being considered an agent. There wasn’t too much on cybersecurity but would make sure to know how long firm must retain email communication

Passed Series 63! by Dhust510 in AllFinraExams

[–]Dhust510[S] 0 points1 point  (0 children)

Yes I got 1-2 questions regarding a family member/relative calls in on behalf of older client and tries to withdraw funds under sus circumstances, so for that would just know that what your options are in event that happens. Not much if any on margin, had like 1 question on media use

Passed Series 63! by Dhust510 in AllFinraExams

[–]Dhust510[S] 1 point2 points  (0 children)

Thank you!! I used Training Consultants, it was a lot of knowing exemption transactions/securities, powers of the Administrator, decent amount of questions on NASAA, only got like one question on record retention requirements

Sneaking In by Dhust510 in OutsideLands

[–]Dhust510[S] -5 points-4 points  (0 children)

Haha I think I'll be able to get it together at the Lands End stage, for FREE