Series 65: 9.1.6 State Jurisdiction Over Fraudulent Securities Activities

Taken from our Series 65 Online Guide

9.1.6 State Jurisdiction Over Fraudulent Securities Activities

Exempt securities are still subject to penalties for securities fraud at the state level. A state 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 its state. In

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