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. Violating State Securities Regulations
3. Within the last 10 years, Having Prior Felony Convictions or Securities Related Misdemeanors
4. Receiving Court-Ordered Limitations
5. Receiving Prior Disciplinary Orders of the Administrator
6. Within the last 10 years, Violations of Other Securities Acts
7. Unethical Behavior
8. Insolvency
9. Foreign Violations
10. Unqualified Agent
11. Failure to File
12. Practical Application

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