Series 63: Reasons For Disciplining An Agent

Taken from our Series 63 Online Guide

Reasons for Disciplining an Agent

According to the Uniform Securities Act, agents may be disciplined for the same reasons as broker-dealers, investment advisers, and investment adviser representatives, assuming the order is in the public interest, including:

1. Filing Incomplete Paperwork
2. Willfully Violating State or Federal Securities Regulations, including the Uniform Securities Act
3. Within the Last 10 years, Having Prior Felony Convictions or Securities Related Misdemeanors
4. Receiving Court-Ordered Limitations
5. Rec

+ Read More

More Series 63 Info

What are people saying?

Create an Account

Since you're reading about Series 63: Reasons For Disciplining An Agent, you might also be interested in:

Series 24 - 3.4.4. Death of a Client

Series 82 - 3.4.4.7. Wash Sales

Series 53 - 4.2.2.2.5. Forming the Syndicate: Syndicate Letter

Series 79 - Free Cash Flow and Free Cash Flow Yield

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

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 passed my Series 6 and 63 [on the] first try. Test simulator helped a lot. Thanks Solomon Exam Prep.

Vaishali Lad, PNC Investments, Toledo, OH

Solomon Exam Prep helped me pass the Series SIE, 63, 65 and 7 exams. The study materials are easy to understand and practice exams were very helpful, especially with the passing probability to gauge my exam readiness. The instructor for all web classes were really worth it as I could get directly answers for my questions. I couldn't have pass these exams without Solomon's help. Thank you!

I LOVED your exam books; passed 6 and 63 with flying colors.

Arthur Bracco, New York, NY

The Solomon Series 63 study materials were excellent. In addition, the staff was extremely helpful in answering my questions and providing advice. Special thanks to Jeremy, Karen and Craig.

Joe

I previously failed my attempt at the series 63. Not by much. Literally one question. But in analyzing why I began to understand that I needed a more comprehensive approach to studying as well as more variety. I looked into a few options and came across Solomon Exam Prep. What I enjoyed and found the most useful were the video presentation and practice exams with immediate feedback. Those exams enabled me to learn with explanation every time I got a question wrong (or right on a guess). The materials are all beneficial and well worth it. I recently passed the series 63 with a score of 85 and much of that success lies upon the use of Solomon Prep. Thanks.

Anslem Gardner