Series 63: State Jurisdiction Over Fraudulent Securities Activities

Taken from our Series 63 Online Guide

State Jurisdiction over Fraudulent Securities Activities

Exempt securities are still subject to penalties for securities fraud at the state level. The state’s administrator has a duty to intervene whenever he thinks that fraudulent behavior related to securities professionals or the registration of securities is taking place. In the case of fe

+ Read More

More Series 63 Info

What are people saying?

Create an Account

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

Series 24 - Dividends and Capital Gains

Series 66 - 3.6.4. Features of Annuities

Series 27 - Red Flags

Series 24 - SIPC Rules

Series 22 - Requirements for a RELP Prospectus

Series 7 - 1.1. Equity Securities

Series 7 - 17.5.2.3 Rules for Delivery of Stocks

Series 22 - Content Standards

Series 51 - Review by a Principal

Series 63 - 5.7.1 Excessive Trading

Series 6 - Series 6 Online Guide

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

I passed the Series 63 today with a score of 88%. I spent 3 hours every day for a week to study. I would highly recommend Solomon to anyone. Thank you Solomon. I couldn't do it without you.

John Nguyen, Transamerica Financial Advisors, Santa Ana, CA

I have used Solomon exam prep for the 6/63 and was able to pass on the first try. Now I’m taking the 65 and hope to do the same. I’ve used other recommended exam prep courses and came back to Solomon for the 65 because of ease of use. I would recommend Solomon to anyone that is in need of a securities exam. All the content is laid out in an easy to follow way.

Antonio Mendoza, State Farm. Santa Maria , CA.

Thanks! I am thrilled. I took the Series 7 three years ago and have been putting off the Series 63 after I failed the first time. I used your book and iPhone app. I am recommending your materials to everyone in my office that needs to take the 63 in the near future. Of course you can use my email as a testimonial. Everything that people have said on the testimonials is 100% correct. The way the materials are written makes it much less of a chore to read and comprehend. Thanks for the follow up email!

Julia Smith, RBC Wealth Management

I got an 88% on my 63 exam with the help of using Solomon which helped a lot!

Brianna Davis, Foresters Financial Services, Lombard, IL

Even though there is no such thing as a guaranteed success in the securities industry, there is a likelihood of strong returns if you are able to make the right risk / reward choices at the right time.

If you are taking a test one of those choices is Solomon materials. Just follow their guidance. It worked for me, 3 times in a row, 7, 63, 24!

Eric Altmann, New York, NY

I passed the Series 63 on the first try. You now have a loyal customer in me. Using Solomon is probably the closest exam success guarantee you could possibly get. Thanks, your exam prep was worth every penny. I would recommend your exam prep to anyone and if I ever have a take another Series exam. I will only be using Solomon exam prep.

Joseph Boswell, FFA. Riverview, FL