Series 63: 3.1.6. State Jurisdiction Over Fraudulent Securities Activities

Taken from our Series 63 Online Guide

3.1.6. State Jurisdiction over Fraudulent Securities Activities

Exempt securities are still subject to penalties for securities fraud at the state level. A state administrator has a duty to intervene whenever it thinks that fraudulent behavior related to securities professionals or the registration of securities is taking place in its state. In the case of feder

+ Read More

More Series 63 Info

What are people saying?

Create an Account

Since you're reading about Series 63: 3.1.6. State Jurisdiction Over Fraudulent Securities Activities, you might also be interested in:

Series 7 - 1.2.2.4. Right to a Residual Claim During Liquidation

Series 50 - Bank Loans

Series 24 - The DMM’s Book

Series 66 - Implications of the CAPM

Series 65 - Moderate-Risk DPPs

Series 79 - 13.1.2. Conducting the Tender Offer

Series 24 - 2.2.2.3. Restrictions on the Sharing of Accounts with Customers

Series 65 - Excessive Trading (Churning)

Series 51 - Municipal Securities Dealer

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I passed my Series 63 today with an 85% and Series 6 two weeks back with an 80%. I was very nervous, but studying was made easy with Solomon Exam Prep; their simple Plain English explanations helped fight that legalese on the Series 63 especially. I totally owe this to the Solomon team, their awesome question bank, and friendly staff. "Ask the Professor" is prompt in answering all your queries. I'm definitely recommending their program to my employer.

Priya R, PA

I just passed the Series 63 after failed in the first attempt as of January. I had studied with another vendor and after some research, I decided to buy Solomon material. I felt very comfortable with the material since English is my second language. And due to the type of the exam, this was very important. It took me time to make the decision for the 2nd attempt but Karen was important to support and she convinced me. I felt very comfortable till question number 20, after that a bit stressful but be sure that you will know the subjects. Thanks Solomon!!!

Ariel Barroso, MCM. Miami, FL

Your Series 63 Audiobook was awesome! My company gave me a class and a textbook but it was boring, so I bought your audio book and, honestly, it helped me pass the test the first time. Now I have to take the Series 6 and I am going to get your Series 6 Audiobook and also the Exam Prep Series 6 iPhone app to practice on my iPod Touch. Thank you so much.

Dana Carbuccia, JP Morgan Chase

I passed the Series 63 exam yesterday. Thanks for your help and everyone at Solomon. You guys are great!!!

Tom Armstrong, Berliner Cohen, San Jose, CA

Thank you so much for your great study materials! I have used you to pass my Series 6, 63 and most recently my Series 7 all on the first try. The practice exams and video lectures were great and extremely helpful. Will definitely be using your study material for any future exams and will recommend you to other people

Louis Orsatti, NY LIFE Securities, Boston, MA

Previously I used another prep company for the Series 63 and did not pass. Second time around I used Solomon and passed! What's more, I felt much more confident from taking the practice exams and working towards a higher and higher probability rate of passing. Thank you Solomon! I'll definitely use you again with any future security exams.

Max Thomas, Finalis / Evalla Advisors LLC. Los Angeles, CA