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 - 6.1.7 Taxation of Mutual Funds

Series 99 - 3.3.2.6 Complaints

Series 66 - 9.4.14. Duty of Best Execution

Series 79 - General Characteristics of Bonds

Series 66 - 9.4.7.1 Best Practices for Forming a Cybersecurity Plan

Series 79 - Offering Statements and Circulars, Solicitations of Interest, and Filing of Sales Material

Series 65 - 10.10.6.3 Describing a Price as “At the Market” If It Is Not

Series 65 - Planning for a Specific Event

Series 66 - Secured Bonds

Series 65 - 1.4.5.1.1. Future Value

Series 24 - 3.11.2.1. Generic Advertisements

Series 65 - 8.7.6. Post-Registration Requirements for Advisers

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

After using other exam preps, I settled on Solomon. This material was spot on! If you follow the study guides, read the chapters, watch the videos and listen to the audio, you will pass!! Good Luck! Thank you Solomon!

Celeste Gullo, Allstate Insurance, Glen Head, NY

I took a job which required me to pass the SIE, Series 6, Series 63 and Series 26. Understandably this was a pretty tall task, but the Solomon Exam Prep materials made it incredibly easy. I appreciated how well all of the material was laid out for all four tests. I stuck to the study plans that were included in the resources and passed all four tests on the first try. This was a stressful time in my life, but Solomon got me through it! I would highly recommend Solomon to anyone who is looking to become licensed. Part of my new job is managing other licensed individuals and I recently hired two employees who are now required to be licensed. I reached out to Solomon for a demo of their Admin Portal and it is wonderfully comprehensive. It allows me to track my employees progress without having to reach out and be too invasive. Excellent all around!

Stephen Carbaugh, StanCorp Equities, Inc. Portland, OR

Nailed my Series 63!! Solomon, y'all rock! Passed this exam after failing twice with another vendor. So folks, use Solomon and PASS!

Sri Murali, Regions Investment Solutions, Baton Rouge, LA

The manuals make the process of wading through all the material much more enjoyable. Ordinarily, this stuff would not be entertaining to study, but even a serious person like me could be heard laughing out loud occasionally. The on-line testing was very convenient, and being able to refer back to the missed questions was very helpful. Best of all, I passed both the 6 and 63 on the first attempt!

Blaine Burnett, Cascade Financial Advocates, Portland, OR

Thank you very much!! I have to say your books and online quizzes are the best! They helped me pass my Series 6 (after failing twice with other study materials) and passing my Series 63 the first time! Thanks again!

Bernadette Reyes

I followed the Solomon recipe for success and passed the Series 63 on my first attempt!!

Jaime Avery, John Hancock, Boston, MA