Series 63: 3.1.6 State Jurisdiction Over Fraudulent Securities Activities

Taken from our Series 63 Online Guide

3.1.6 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

+ Read More

More Series 63 Info

What are people saying?

Create an Account

Since you're reading about Series 63: 3.1.6 State Jurisdiction Over Fraudulent Securities Activities, you might also be interested in:

Series 14 - 2.8.4.1. Regulation SHO

Series 53 - Delivery and Payment

Series 65 - 4.5.5.1.2.3. Low-Risk DPPs

Series 52 - Exercise

Series 24 - Independent Public Accountant’s Reports

Series 26 - Reviewing Account Activity and Disclosures

Series 66 - 2.3.3 Stock Appreciation Rights

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Your "Pass the 7" guide and practice questions helped my studying immensely, and I passed the exam the first time. I am currently using the "Pass the 63" guide and practice questions - the teaching style makes the learning experience much more interesting! I will definitely recommend your products to my friends and colleagues. Thank you so much!

Patrick Chen, Midtown Partners, New York, NY

I passed the Series 63 with an 86. Your system rocks!!!

Edward Giaco, TaxCheck USA Investments Broadview Heights, OH

I passed the 82 and 63 within a few months coming from no financial background. The exam simulator is fantastic and has a large pool of questions.

Taylor Hawks, Maraboyina Capital. Dallas, TX

Bought the exam simulator for the 63 the day before the test and passed with a 90%. Questions in the simulator were MUCH more difficult than the actual test and I had no problem. Very helpful!

Mike, New York

I failed the 63 three times over the course of four years. I passed the first time after taking your course.

Senica Omernik, Farmers Insurance, Stevens Point, WI

All of your products are AMAZING! I passed my 6 & 63 with Solomon by my side every step of the way. Thanks again!

Stephen Snyder

Solomon Exam Prep has moved to Pass Perfect! Contact support to move your account →

Series 63: 3.1.6 State Jurisdiction Over Fraudulent Securities Activities

Taken from our Series 63 Online Guide

3.1.6 State Jurisdiction over Fraudulent Securities Activities

Since you're reading about Series 63: 3.1.6 State Jurisdiction Over Fraudulent Securities Activities, you might also be interested in:

Ask the Professor

Thanks for being part of the Solomon community!

All securities exam prep and IAR CE courses must now be purchased
at Pass Perfect. Go now →