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, including:

1. Filing incomplete paperwork
2. Willfully violating state or federal securities regulations, including the Uniform Securities Act
3. Within the last 10 years, having prior felony convictions or securities related misdemeanors
4. Receiving court-ordered limitations
5.

+ Read More

More Series 63 Info

What are people saying?

Create an Account

Since you're reading about Series 63: Reasons For Disciplining An Agent, you might also be interested in:

Series 79 - 11.4.1. The Fairness Opinion

Series 66 - 8.1.11. Other Provisions

Series 53 - 6.1. Forms of Issuance

Series 52 - 4.5.2. Type of Issuance and Source of Funds

Series 82 - Chapter 1 Practice Question Answers

Series 82 - 1.1.10 Summary of Registration Exemptions

Series 79 - 11.1. The Engagement Letter

Series 66 - Suitability

Series 50 - Exercise

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I passed the Series 63 after using the study materials from Solomon. The practice exam and quizzes were the most amount of help. How the questions are asked really makes a difference. It gets your mind ready for how the exam will phrase the questions. Highly recommend this to anyone taking the Series 6 and/or 63. Great material! Will be returning for the Series 7 in the future.

Joseph DeLoach, WoodmenLife, Eatonton, GA

Just passed the S63 exam on the second try. The only reason I failed the first time is that I didn't take enough timed practice exams. My advice is to take practice exams until you are blue in the face. I did that this time around and aced the exam. I've now passed both S7 (first try) and S63 with Solomon. Worth every penny.

D. G. Swanagain, New York Life, New York, NY

I love Solomon Exam Prep. The combination of studying the online test questions, textbook, and online live video course helped me get a 90% on both the Series 6 and 63 the first time! The staff is friendly and my online instructor was phenomenal! I will definitely use Solomon again when I prepare for the 65 and recommend them to everyone!

Hunter Lowe Lappen, Easton, MD

Thanks to Solomon Test Prep, I passed the Series 79, 7, 63 and 82 exams. Your excellent software made all the difference!

Constantine Valhouli, New York, NY

Stick to the plan and pass! 4 times in a row, 7, 63, 24 and now 79. You can't beat the Solomon materials.

Eric Altmann

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