Series 65: State Jurisdiction Over Fraudulent Securities Activities

Taken from our Series 65 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 it thinks that fraudulent behavior related to securities professionals or the registration of securities is taking place. In the case of fed

+ Read More

More Series 65 Info

What are people saying?

Create an Account

Since you're reading about Series 65: State Jurisdiction Over Fraudulent Securities Activities, you might also be interested in:

Series 66 - The Balance Sheet

Series 52 - 9.3.2. Preservation of Books and Records

Series 6 - 4.3.11. Taxation of U.S. Treasuries and Municipal Securities

Series 3 - 7.5. Regulation of Commodity Trading Advisors

Series 82 - 3.3.6. Debt Retirement

Series 50 - Exclusions from the Definition of Municipal Advisor

Series 54 - 3.2.5.12. Other Pay to Play Example Questions

Series 24 - 2.7.6.1.4. Changes in Account Name or Designation

Series 66 - Exchange-Traded Notes (ETNs)

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I have to commend everyone at Solomon Exam Prep in getting me ready for and helping me pass my "Series 65" State Securities Law exam. I did not have a securities background nor did I work in the industry, and at 51 years old it was a challenge for me to go back to hitting the books. In addition to studying for the exam I was running my full time business and working 60+ hours a week. But with their help and support I passed on my first attempt.

Philip Schweik, Global View Capital Advisors, Wausau, WI

I used Solomon Exam Prep to take my Series 65 exam and passed it on the first try. The schedule generator is a great tool to stay on track and the practice exams and quizzes were my preferred method of studying and worked great as they provided questions that were very close and helpful in preparing for the real exam. Thank you!

Joseph Waitkevich, Coppertree LLC. Worcester, MA

I want to thank Solomon Prep for helping me to pass the Series 65.

Nelson Coleman, Saint Louis, MO

I'm an auditory learner. Ordering the audio files was most helpful and I passed today with no worries.

Michael Freemire, Cambridge Advisors, Englewood, CO

The Exam Prep online exams solidified the material in my mind and allowed me to use the timer to think quickly. Although the Series 65 exam is not a race, time is a key factor. I finished the test in about and hour and 10 minutes and then spent 20 minutes going back to review the questions I marked, a couple of which I had to use logic to guess what the terms meant (always dangerous to use logic when it comes to this stuff). After completing I pressed the button to submit it for grading and the whole while my heart was pounding as I thought for sure I failed due to the length of time it took to grade (I am certain the computer was laughing at my getting so many ridiculous questions on one test). Lo and behold when the screen returned I got an 82 and I don't think that I could have done it with out your book and your online tests to hammer the info in to my head. At 45 years of age having been removed from college for to many years it was quite an arduous task especially with out a class and about 2 months to prepare part time on my own. So in a long winded way thanks I am sure I could not have passed the Series 65 without your help.

Roger Vertes, Boston, MA

I passed the exam (Series 65) on the first try only using your study prep. Worked great for me!

Michael Carmody Brentwood, TN