A Series 23 course from Varsity Tutors is a great way to maximize your preparation for this exam. If you are hoping to be registered as a general securities sales supervisor, a Series 23 course from Varsity Tutors can provide you with resources and tools for studying. A Series 23 class is centered on your needs.
An important aspect of a Series 23 class is developing an understanding of the exam content and layout. Below is a table that provides the organizational details of the exam:
|Question Format||# Questions||Time Allowed||Passing Score||Corequisites|
|Multiple-Choice||100||2 Hours and 30 Minutes||70%||Series 8, Series 9/10, or Series 12|
Throughout Series 23 courses, you are able to focus on the parts of the test that are the most vital for your success. Because you are the only student in Series 23 classes, your instructor is able to tailor their instruction to your particular needs. You don't have to learn material that is already familiar to you, and you don't have to learn in ways that are not effective. In a Series 23 prep course, you can work with the material according to your learning style. Additionally, a Series 23 prep class provides a venue for helpful feedback that can help you build better habits, skills, and confidence. Below is a list of topics for the exam that you can prepare for in Series 23 courses:
Series 23 Topics (non-comprehensive)
- Differences between SEC, SRO and state requirements
- Differences between Registered Investment Adviser (RIA) and Broker-Dealers (BD) and required registrations
- Prehire requirements based on background, disciplinary, complaint or financial history and the registration/affiliation
- Requirements for heightened supervision
- Regulatory element and firm element continuing education requirements
- Appropriate testing of the firm's procedures and controls, including the CEO Certification
- Requirements to implement and test the firm's Business Continuity Plan (BCP)
- Regulatory requirements to manage conflicts of interests
- Payments for referrals
- Cash and non-cash compensation arrangements
- Products and their risk characteristics and appropriate accounts
- Ongoing risk assessment of listing products and services
- Proper handling and resolution of customer and industry disputes
- Electronic records storage requirements
- SEC requirements for extensions of credit and related disclosure
- Bank Secrecy Act and USA PATRIOT Act
- Anti-Money Laundering regulations
- Privacy of customer information
- Social media and electronic communications guidelines
- Commission and markup regulations
- Market making and quoting activities
- Various restrictions on trading systems and capital and credit limits
- Trade confirmation requirements and disclosures
- Trade reporting facilities for various types of securities
- Public and private offering regulations
- Communication regulations related to new issues
- Research report approval and dissemination processes
During Series 23 prep classes, you and your instructor can devise a study plan for your time together. Creating a study plan is a way for you to use your time as effectively as possible. Also, preparing for any exam can feel overwhelming, but in a Series 23 prep course, you can break your goals into smaller steps, which allows you to work through your preparation in an organized fashion. This allows you to see progress in your studies and track your progress. An effective study plan can help you build confidence as you approach the exam, and it can ensure that you use your time in your sessions effectively.
Additionally, a Series 23 prep course is a place where you can increase your knowledge of test-taking strategies. By understanding the types of questions that appear on the exam and making strategies to address them, your studies a Series 23 course can help you to maximize your time during the exam. Additionally, by entering the test with strategies planned out, you can feel more confident. Given that the Series 23 exam is made up of multiple choice questions, you and your tutor for the Series 23 class can focus on strategies that improve your effectiveness on multiple-choice questions.
All Series 23 prep classes take place online. Our Live Learning Platform allows you and your instructor to meet from anywhere with an internet connection. By offering an online meeting place, we remove the need to commute as a barrier to private tutoring.
Varsity Tutors is proud to offer Series 23 classes for your test preparation needs. By giving you flexibility, resources, and intensive instruction, we help you to get ready as effectively as you can for this important test. As you look to expand your professional qualifications and options, consider Series 23 prep courses. Educational Directors are available online or over the phone to help you register.
Mary: Series 23 course instructor
...Equities and Swiss Treasury) that I diligently represented resulting in increasing customer business and attractive risk adjusted return on capital (RAROC). My career trajectory continued to expand beyond US domestic equity markets into global markets - Asia, Latin America, Europe as well as into other asset classes FX, Commodities, Fixed Income dictated by customer investment policies, the liberalization of markets, and the respective risk books. I accepted new business roles and appointments and was later...
Ramona: Series 23 course instructor
...project manager and a certified scrum master. I am a financial representative licensed to sell life insurance, stocks, bonds, mutual funds, and variable annuities. I have tutored children from the age of 4 to adults in both reading, math, and finance. My favorite subject to teach is reading because it opens up a whole new world to the student. I also like to teach finance because we earn money and spend money, but we don't...
Derrick: Series 23 course instructor
...my Master's degree in Finance with a specialization in Accounting. I have worked extensively in the banking and finance industry. I currently work for a private equity real estate firm as a registered representative. I currently have my series 22 and series 63 registration. My teaching philosophy is centered around the student. I believe in a personalized approach to learning. I currently focus on tutoring finance, history, Series 22, and Series 63 exam preparation.
Education & Certification
- University of Arizona - Bachelor in Arts, Political Science and Government
- Colorado State University - Masters in Business Administration, Finance
- Series 23
- Study Skills
- Professional Certifications
- Study Skills and Organization
- +7 subjects