Series 63: 3.1.7 Termination Of A Securities Registration

Taken from our Series 63 Online Guide

3.1.7 Termination of a Securities Registration

As previously mentioned, a securities registration is effective for one year from its effective date, and it cannot be withdrawn during that year-long period. After that period, it may be withdrawn only at the discretion of the state securities administrator.

The state securities administrator

+ Read More

More Series 63 Info

What are people saying?

Create an Account

Since you're reading about Series 63: 3.1.7 Termination Of A Securities Registration, you might also be interested in:

Series 66 - Transfer of Preferred Stock

SIE - Capital Gains on the Sale of Mutual Fund Shares

Series 24 - Listing Termination

Series 28 - Chapter Six: The Uniform Practice Code

Series 24 - 2.2.1.3.2. Regulation FD

Series 66 - 9.4.16.4. Exemption for Certain Returned Contributions

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I used Solomon Exam Prep for both the Series 7 and 63. Everyone learns differently, and they have resources for every type of learner. Their practice exams and quizzes push you to be prepared for the most difficult questions, enabling you to be over-prepared (better than the alternative!) for your exam. I received a 93% on the Series 7 and wish the regulators provided a score for the Series 63, but needless to say I passed. If I ever need to take a regulatory exam again, I will look to these guys first.

Suraj P, New York, NY

Solomon, You all are the best. I wanted to let you know....Your classes are great! You explain the material so well. I had taken the Series 6 with another company and only passed by one point! I took the course with the same company for the Series 63 and missed it by one point! Needless to say, I was a little upset. I decided to start from scratch and did it with Solomon. I passed the Series 63 with a 82%. Thanks! I am preparing to take the Series 65 and will use Solomon too. You all are great!!!

Jenee S.

I took and passed my Series 63 this past weekend. I found the Solomon materials instrumental in getting to a pass on the first time. While the manual was good, what really assisted me were the practice exams that were nearly identical to what the actual test questions were. The materials were easy to use and comprehensive. A worthwhile investment.

Jeffrey Bartlett

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

Pavel Jezek, Denver, CO

I used another exam prep for my series 6, failed it. Then came across Solomon Exam Prep. I passed series 6 once and just passed series 63 yesterday. Thanks for a great material.

Toyin Daranijoh, Primerica, Kalamazoo, MI

Passed the 63 with an 85%. The exam simulator was unbelievably helpful, but still make sure you understand the fundamental concepts and the questions are not always phrased the same way or in the same structure. It was significantly easier as there was some overlap with 79 materials, which I had also previously passed using Solomon materials.

Aaron Lau