Series 63: Reasons For Disciplining An Agent

Taken from our Series 63 Online Guide

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Reasons for Disciplining an Agent

According to the Uniform Securities Act, agents may be disciplined for the same reasons as broker-dealers, investment advisers, and investment adviser representatives, assuming the order is in the public interest, including:

  1. 1. Filing incomplete paperwork
  2. 2. Willfully violating state or federal securities regulations, including the Uniform Securities Act
  3. 3. Within the last 10 years, having prior felony convictions or securities related misdemeanors
  4. 4. Receiving court-ordered limitations
  5. 5.
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