Series 63: Reasons For Disciplining A Broker-Dealer

Taken from our Series 63 Online Guide

Reasons for Disciplining a Broker-Dealer

According to the Uniform Securities Act, broker-dealers may be disciplined for the same reasons as investment advisers and investment adviser representatives, if the order is in the public interest. Please see “Reasons for Disciplining an Adviser” for the full list of situations that could result in disciplinary action.

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