Series 63: Reasons For Disciplining An Agent

Taken from our Series 63 Online Guide

Reasons for Disciplining an Agent

According to the Uniform Securities Act, agents may be disciplined for the same reasons as broker-dealers, investment advisers, and investment adviser representatives, assuming the order is in the public interest. Please see “Reasons for Disciplining an Adviser” for the full list of situations that could result in disciplinary action.

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