Series 63: State Jurisdiction Over Fraudulent Securities Activities

Taken from our Series 63 Online Guide

State Jurisdiction over Fraudulent Securities Activities

Exempt securities are still subject to penalties for securities fraud at the state level. The state’s administrator has a duty to intervene whenever he thinks that fraudulent behavior related to securities professionals or the registration of securities is taking place. In the case of fe

+ Read More

More Series 63 Info

What are people saying?

Create an Account

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

Series 50 - Moral Obligation Bonds

Series 66 - 9.1.4 Performance Guarantees

Series 28 - Code of Arbitration

Series 79 - 10.4.5. Member Private Offerings

Series 65 - 8.1 The Securities Act of 1933

Series 53 - Hedging

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I was well prepared from using Solomon. Such much so that I finished early enough to review the questions and my answers, and determine my estimated score. Thanks! Great platform. Highly recommend using Solomon.

Max Thomas. Fort Lauderdale, FL

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

David Lewis, White Plains, NY

Passed my Series 63 with an 82% on my first attempt! Practice tests were definitely very valuable and prepared me well!

Michael Bikas, PNC, Cincinnati, OH

Thank you for the flexibility and the study material for 63, I ended up with an 87 thanks to your materials! Thank you Solomon!

Allen Ruffles

I thought you might appreciate knowing that I passed the test with a 90 today. Thanks again for all the help and good quality material that your company has. I am very glad to have used your materials and will certainly refer others to Solomon Exam Prep. (Series 6 & 63)

Matthew Baird, Gloversville, NY

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!