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

Taken from our Series 63 Online Guide

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

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I ordered the Series 63 material on 10/4 and sat for my exam today 10/15 and I passed....the exams are more challenging then the other vendors I used. This cleary helped me pass the exam. I'm about to order the 65 material

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My thanks to everyone at Solomon for their commitment to my success in passing Series 63. Karen Solomon was always quick to respond to me, advise me and clarify material for me. I had great take away from Bob Pisani's class and I know his presentation influenced my exam score of 83!

Mary Sutter

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Suraj P, New York, NY