Series 63 (Series 66) exam prep Exempt Securities and Exempt Transactions



If you want to pass the Series 63 exam or the Series 66 exam subscribe to my channel and check out the Series 63 playlist. In this video, I cover Exempt Securities and Exempt transactions. Both are vital to know in your Series 63 an Series 66 exam prep

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Comment (15)

  1. I love your videos man. Such a vibe lol
    Just a man, living his life, making a homemade video in his backyard on how to pass FINRA exams.
    “My wife doesn’t know I’m doing this” lol it’s just all perfect.

  2. This was the first video of yours that I found! I have re-watched it many times!
    Because of your content I ha e passed the SIE, 6, 63, and soon to be 65! (Taking it in 90 minutes from now)

  3. Love the video, it’s extremely helpful. You dog is definitely the highlight of this video though lol. I really enjoy how you keep things so casual. It brings my stress level before the exam down a notch. Thank you!

  4. Can you elaborate about not needing to register something relating to a utility? I remember seeing several questions on practice tests about public utilities. Can’t recall exactly what the question was asking

  5. I love the sense of humor! He said “my shitty ass tutor company” as an example 🤣🤣🤣

    Man, you definitely don’t have a shitty ass tutor company. You make great content!! Watching your videos helped me pass the SIE, the 6 and I’ll be taking the 63 in two weeks with high confidence thanks to you!!

    We Appreciate You!!!!

  6. These short videos do a great drop of interpreting the raw information taken in from the books that otherwise would be difficult to apply in a real life or test situation!

  7. Hi I am taking series 65 in less than 48 hours, could you please help me understand this questions? The correct answer on Kaplan is A, not required to be registered because US government security is a Federal exempt advisor so the answer says that Not Required to be registered in the state. However, the question is asking about the PERSON not the Firm. I would agree with A if it's asking if the firm needs to be registered. But I thought "person" is referring to the IAR, and IARs are all registered in the state. It doesn't matter if the security they are selling is federally covered or not. All IARs need to be registered with the state, so I thought that the answer should be C. HELP. :'(

    Under the USA, a person who is in the business of providing advice on trading futures contracts in addition to advising clients on securities issued or guaranteed by the U.S. government is

    A)
    not required to be a registered investment adviser in the state
    B)
    required to be a registered investment adviser in the state
    C)
    required to be a registered investment adviser representative in the state
    D)
    required to be a registered agent in the state

  8. your videos are beyond helpful!! i’m taking my s63 next friday! i already passed the sie, and s6 thanks to your videos! you rock!

  9. I love your videos, they are so helpful. I feel like you really help me pass the tests A LOT! Thanks so much for doing this!!!

  10. I passed my 63. Should I take the 66 or just the 65? Someone told me the 66 is easier and fewer question? What’s your opinion Capital Advantage Tutoring?

  11. Many people told me the Series 63 is super complicated and confusing. But I actually passed it on first attempt, I feel like is more straight forward than S6 or 7. Just have to be careful with What is exempt or not.

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