Series 63: State Jurisdiction Over Fraudulent Securities Activities

Taken from our Series 63 Online Guide

State Jurisdiction over Fraudulent Securities Activities

Exempt securities are still subject to penalties for securities fraud at the state level. The state’s administrator has a duty to intervene whenever he thinks that fraudulent behavior related to securities professionals or the registration of securities is taking place. In the case of fe

+ Read More

More Series 63 Info

What are people saying?

Create an Account

Since you're reading about Series 63: State Jurisdiction Over Fraudulent Securities Activities, you might also be interested in:

Series 27 - Guaranteeing Customers Against Loss

Series 65 - Speculation

Series 6 - 8.1.2. Margin Accounts

Series 79 - 3.1.6. Free Cash Flow and Free Cash Flow Yield

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I passed the Series 63 yesterday. It's been over 30 years since I took the Bar Exam, so my knowledge of the Blue Sky laws was quite stale. Your "Pass the 63" training guide and exam simulator were godsends. The writing is remarkably clear and concise and delightfully engaging. They made even the most mind-numbingly complicated securities law topic understandable. Invaluable, thank you.

Paul T. Sheils, Newtown, PA

In preparation for the Series 7, I began with Kaplan. I tested and did not pass. I then switched to STC materials. I tested and did not pass. I then switched to Solomon and passed! I also used Solomon for the 63 and passed the first time. I highly recommend Solomon's test preparation materials. The question bank was far more extensive than the others and I definitely felt better prepared using Solomon.

Kara S, CLS, Carrollton, TX

I just wanted to say thank you! Thank you! Thank you! I had taken the 63 and failed and was quite discouraged. I happened to come across your book and iPhone app and I just passed [the Series 63] yesterday with an 83 ... a 15 pt difference than the last time I took it. I can not recommend your materials enough!

Julia Smith, RBC Wealth Management

Thank you Solomon! I was able to pass the SIE, 7, 63 and 24 in a relatively short time period. The practice exams with answers really helped and when I had a question for The Professor, I always received a quick and accurate response. Solomon is definitely the way to go.

Seth Schader, CCO, Mercer Island, WA

I ordered the Series 63 material on 10/4 and sat for my exam today 10/15 and I passed....the exams are more challenging then the other vendors I used. This cleary helped me pass the exam. I'm about to order the 65 material

David Lewis, White Plains, NY

Thank you guys for the outstanding prep materials. I took the Series 79 and 63 in the same week and passed both the first time with great scores. I could not have been better prepared. Your exam simulator is especially awesome! Nothing on either exam surprised after.

Richard Walters, Virginia Beach, VA