Series 63: Post-Registration Requirements

Taken from our Series 63 Online Guide

Post-Registration Requirements

Agents are not subject to as many post-registration requirements as the broker-dealers they represent, but are expected to help their broker-dealers meet all recordkeeping requirements and comply with all audits as needed. Agents are responsible for meeting any conditions for ongoing registration set by their state, however, and provide any documentation needed as evidence of meeting such conditions.

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