Series 63: Other Penalties And Liabilities

Taken from our Series 63 Online Guide

Other Penalties and Liabilities

In addition to revoking, denying, or suspending someone’s registration, a state administrator can pursue civil liabilities and criminal penalties, and financial damages against a registered person or firm. The decision of which to pursue depends on a number of things, including the severity of the violation and the willingness of the professional or firm to work with the administrator.

The Uniform Securities Act states that persons who violate the Act through securities transactions or investment advice are subject to civil liabilities. But, if a violatio

Since you're reading about Series 63: Other Penalties And Liabilities, you might also be interested in:

Solomon Exam Prep Study Materials for the Series 63
Please Enable Javascript
to view this content!