LTB metadata coverage

Series 63 outline coverage map

The public bank contains 646 quality-gated questions out of 1,052 checked-in questions as of the 2026-07-03 public-bank snapshot. Counts below follow LTB’s section and topic metadata and are placed beside the official outline—not passed off as an objective-by-objective official mapping.

Download JSON Open official NASAA source

LTB section 1

Regulation of Investment Advisers

questions · 13% of public bank

27.3% observed miss rate across 150 answer records from 5 distinct users, data through 2026-08-01. This appears only because the intelligence thresholds are met.

LTB topic labels in this section

Definition of Investment Adviser — Exclusions · 6Investment Adviser Representatives — Exclusions from Definition · 4Definition of Investment Adviser — Compensation Element · 3Definition of Investment Adviser — General Definition · 3Definition of Investment Adviser — Compensation Requirement · 2Definition of Investment Adviser — Exclusions and Dual Registration · 2Definition of Investment Adviser — Media Exclusion · 2Definition of Investment Adviser — Multi-State Business and Exemptions · 2Definition of Investment Adviser — Professionals Excluded · 2Definition of Investment Adviser — Scope of Advice · 2Definition of Investment Adviser and Requirement to Register · 2IA Exemptions and Exclusions — Administrator’s Authority to Deny Exemptions · 2IA Exemptions and Exclusions — Adviser to Institutions · 2IA Exemptions and Exclusions — De Minimis Exemption · 2IA Exemptions and Exclusions — Exclusion for Banks · 2IA Exemptions and Exclusions — Exclusion for Banks and Bank Holding Companies · 2IA Exemptions and Exclusions — Exclusion for Certain Professionals · 2IA Exemptions and Exclusions — Institutional Clients · 2IA Exemptions and Exclusions — Intrastate Adviser Exemption · 2IA Exemptions and Exclusions — Private Adviser and Institutional Client Exemptions · 2IA Exemptions and Exclusions — Publishers Exclusion · 2Investment Adviser Representatives — Administrator's Disciplinary Powers · 2Investment Adviser Representatives — Compensation and Activities · 2Investment Adviser Representatives — Definition · 2Investment Adviser Representatives — Definition and State Registration · 2Investment Adviser Representatives — Registration and Exemptions · 2Investment Adviser Representatives — Registration Requirement · 2Investment Adviser Representatives — State Jurisdiction · 2Investment Adviser Representatives — Termination Procedures · 2Registration Process for Investment Advisers · 2Registration Requirements for IAs — Administrator's Powers and Exemptions · 2Registration Requirements for IAs — Exclusions from Definition · 2Registration Requirements for IAs — Exemptions for Institutional Clients · 2Registration Requirements for IAs — Multi-State Operations and Notice Filing · 2Registration Requirements for IAs — Place of Business · 2Registration Requirements for IAs — State vs. Federal Registration · 2Registration Requirements for IAs — Successor Firms · 2State Registration Exemptions · 2

Practice this coverage area →

LTB section 2

Regulation of Broker-Dealers & Agents

179

questions · 27.7% of public bank

20.1% observed miss rate across 298 answer records from 5 distinct users, data through 2026-08-01. This appears only because the intelligence thresholds are met.

LTB topic labels in this section

Agent Registration — Scenario · 16Broker-Dealer Registration — Requirements · 12Exemptions — Scenario · 9Prohibited Practices — Scenario · 9Broker-Dealer Registration — Scenario · 8Agent Definition · 4Agent Definition — Exclusions · 4Agent Definition — Scenario · 4Agent Registration — Dual Registration · 4Agent Registration — Exemptions · 4Agent Registration — Issuer Agents · 4Agent Registration — Requirements · 4Agent Registration — Termination · 4Agent Registration — Transfer · 4Agent Registration — When Required · 4Broker-Dealer Definition — Exclusions · 4Broker-Dealer Registration — Administrator Authority · 4Broker-Dealer Registration — Consent to Service of Process · 4Broker-Dealer Registration — Effective Dates · 4Broker-Dealer Registration — Financial Requirements · 4Broker-Dealer Registration — Process · 4Broker-Dealer Registration — Record Keeping · 4Broker-Dealer Registration — Renewal · 4Broker-Dealer Registration — Successor Firms · 4Broker-Dealer Registration — Withdrawal · 4Agent Registration — Renewal · 3Exemptions — Agents of Exempt Broker-Dealers · 3Exemptions — Broker-Dealer Exemptions · 3Exemptions — Broker-Dealers with No Office in State · 3Exemptions — Canadian Broker-Dealers · 3Exemptions — Federal Covered Advisers · 3Exemptions — Institutional Investors · 3Exemptions — Notice Filing · 3Prohibited Practices — Borrowing/Lending · 3Prohibited Practices — Churning · 3Prohibited Practices — Commingling Funds · 3Prohibited Practices — Selling Away · 3Prohibited Practices — Sharing in Customer Accounts · 3Prohibited Practices — Unauthorized Transactions · 3Prohibited Practices — Unsuitable Recommendations · 3

Practice this coverage area →

LTB section 3

Regulation of Securities & Issuers

263

questions · 40.7% of public bank

24.7% observed miss rate across 380 answer records from 5 distinct users, data through 2026-08-01. This appears only because the intelligence thresholds are met.

LTB topic labels in this section

Securities Registration — Coordination · 23Securities Registration — Notification/Filing · 18Securities Registration — Qualification · 18Securities Registration — Stop Orders · 17Federal/State Coordination — Notice Filing · 15Securities Registration — Effective Dates · 12Exempt Securities — Bank Securities · 10Exempt Securities — Federal Covered Securities · 10Exempt Securities — Government/Municipal Securities · 10Exempt Securities — Investment Company Securities · 10Exempt Securities — Nonprofit Securities · 10Exempt Transactions — Existing Security Holders · 10Exempt Transactions — Institutional Buyers · 10Exempt Transactions — Isolated Non-Issuer Transactions · 10Exempt Transactions — Preorganization Certificates · 10Exempt Transactions — Private Placements · 10Exempt Transactions — Unsolicited Brokerage Transactions · 10Federal/State Coordination — Blue Sky Laws vs Federal · 10Federal/State Coordination — NSMIA · 10Federal/State Coordination — State Antifraud Authority · 10Exempt Securities — Canadian Securities Exemption · 5Exempt Securities — Insurance Policies · 5Federal/State Coordination — Blue Sky Laws · 5Federal/State Coordination — Federal Covered Securities · 5

Practice this coverage area →

LTB section 4

Remedies & Administrative Provisions

120

questions · 18.6% of public bank

21.9% observed miss rate across 479 answer records from 5 distinct users, data through 2026-08-01. This appears only because the intelligence thresholds are met.

LTB topic labels in this section

Administrator Powers — Grounds for Denial · 6Criminal Penalties — Scenario · 6Administrative Procedures — Cooperation Between States · 3Administrative Procedures — Federal Law Preemption · 3Administrative Procedures — Hearing Procedures Scenario · 3Administrative Procedures — Judicial Review · 3Administrative Procedures — Records and Reports · 3Administrative Procedures — Right to a Hearing · 3Administrative Procedures — Service of Process · 3Administrative Procedures — Summary Suspension · 3Administrator Powers — Authority · 3Administrator Powers — Cancellation vs. Revocation · 3Administrator Powers — Cease and Desist · 3Administrator Powers — Felony Convictions · 3Administrator Powers — Insolvency · 3Administrator Powers — Jurisdiction · 3Administrator Powers — Penalties · 3Administrator Powers — Qualification · 3Administrator Powers — Subpoena · 3Administrator Powers — Willful Violations · 3Civil Liabilities — Buyer's Remedies for Fraud · 3Civil Liabilities — Joint and Several Liability · 3Civil Liabilities — Measure of Damages · 3Civil Liabilities — Rescission Offer · 3Civil Liabilities — Rescission Rights · 3Civil Liabilities — Seller's Defense · 3Civil Liabilities — Seller's Defense for Fraud · 3Civil Liabilities — Statute of Limitations · 3Civil Liabilities — Statute of Limitations Scenario · 3Civil Liabilities — Unregistered Securities · 3Criminal Penalties — Burden of Proof · 3Criminal Penalties — Burden of Proof Comparison · 3Criminal Penalties — Concurrent Actions · 3Criminal Penalties — Fines and Imprisonment · 3Criminal Penalties — Knowledge Defense · 3Criminal Penalties — Statute of Limitations · 3Criminal Penalties — Who Initiates Prosecution · 3Criminal Penalties — Willful Violations · 3

Practice this coverage area →

Methodology and limits

Counts are computed from quality-gated public question pages and their checked-in LTB section and topic metadata. Duplicate or incomplete questions excluded by the public-page quality gate are not counted as public coverage.

This is an LTB topic-coverage inventory mapped at the broad section-label level to the linked official outline. It is not a line-by-line mapping to every official objective, does not claim that question count equals exam readiness, and is not an endorsement or coverage certification by FINRA or NASAA.