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The Series 63 (formally known as the Uniform Securities Agent State Law Examination) is a registered exam that is required of all potential registered representatives in most of the U.S. states. However, Colorado, District of Columbia, Florida, Louisiana, Maryland, Ohio, and Puerto Rico do not require the Series 63.
Dealers and Salespersons. New York State Department of Law. 1.
Series 63: Most states require this license for anyone who wants to sell securities within the state. To sell securities anywhere in the US, you must also pass the Series 6 or Series 7. A passing grade of 70% or better on the Series 63 exam, administered through Prometric Testing Centers.
New York requires registered representatives are required to take the Series 63 or the Series 66. The Series 7 is not required by the state, but is required by FINRA and therefore will be required by all FINRA member broker-dealer firms.
FINRA Regulates Broker-Dealers, Capital Acquisition Brokers, and Funding Portals. A Broker Dealer is in the business of buying or selling securities on behalf of its customers or its own account or both.

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The Series 63 license is intended to measure an applicant's knowledge and understanding of state law and regulations. It is required for individuals soliciting the purchase or sale of securities products, such as mutual funds, variable annuities, stocks, or bonds within a state.
Dealers and Salespersons. New York State Department of Law. 1.
The Form D filing in New York should be submitted online through the Electronic Filing Depository (EFD) system developed by the North American Association of Securities Administrators (NASAA), which a number of states have adopted for their Form D filings.
Financial Conduct Authority | FCA.
The SEC is tasked with regulating the securities market, including broker-dealers and registered investment advisors. Broker-dealers and their agents are required to register with FINRA.

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