Series 63: 2.1.4. Termination Of A Broker-Dealer’s Registration

Taken from our Series 63 Online Guide

2.1.4. Termination of a Broker-Dealer’s Registration

Recall that registration as a broker-dealer is by no means permanent. At bare minimum, state and federal approval to operate can terminate on December 31 of any year simply because a broker-dealer forgets to submit its ren

+ Read More

More Series 63 Info

What are people saying?

Create an Account

Since you're reading about Series 63: 2.1.4. Termination Of A Broker-Dealer’s Registration, you might also be interested in:

Series 66 - 3.1.4.1. Shareholder Voting Rights

Series 63 - Currency Transaction Reports (CTRs) and Suspicious Activity Reports (SARs)

Series 24 - Limited Liability Companies

Series 82 - Arbitration Process

Series 27 - Fixed Assets and Prepaid Items

Series 7 - 15.7.1 Opening a Day-Trading Account

Series 26 - Compliance Meeting

Series 14 - 4.1.3. Net Capital Requirements for Different Types of Firms

Series 54 - 3.2.4. Municipal Advisor Advertisements

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I passed the Series 63 after using the study materials from Solomon. The practice exam and quizzes were the most amount of help. How the questions are asked really makes a difference. It gets your mind ready for how the exam will phrase the questions. Highly recommend this to anyone taking the Series 6 and/or 63. Great material! Will be returning for the Series 7 in the future.

Joseph DeLoach, WoodmenLife, Eatonton, GA

I passed it (Series 63) yesterday, thanks for all the help, I couldn't have done it without Solomon.

Brandon Neff, Houston, TX

I used Solomon for the 63 and the 65 and PASSED both on 1st try. U will too.

Pavel Jezek, Denver, CO

Your books and online exam simulators were an excellent study mix: I passed the Series 63 and the Series 79 exams!

Bob Newkirk, Moesman Advisors LLC, Denver, CO

Ok guys, there was ONE problem with the Series 63 study material that I purchased from you. The problem is that I should have purchased it sooner!!

Keith Kozubal, Englewood, CO

I took 2500+ questions in your simulator and I passed the Series 63 on my first attempt. Your practice exams are fantastic!!!!!

Pavel Jezek, Denver, CO