Series 63: 2.1.4.1. Reasons For Disciplining A Broker-Dealer

Taken from our Series 63 Online Guide

2.1.4.1. Reasons for Disciplining a Broker-Dealer

According to the Uniform Securities Act, broker-dealers may be disciplined for the same reasons as investment advisers and investment adviser representatives, if the order is in the public interest. Please see “Reasons for Disciplining an Adviser.” for the full list of situations that could result in disciplinary action.

+ Read More

More Series 63 Info

What are people saying?

Create an Account

Since you're reading about Series 63: 2.1.4.1. Reasons For Disciplining A Broker-Dealer, you might also be interested in:

Series 79 - 8.5.2. The Corporate Financing Rule

Series 65 - Registration of Securities

Series 24 - Investment Adviser Accounts

Series 53 - Loan Consent Agreement

Series 26 - Sanctions

Series 99 - 2.5.1 Calculating Capital Gains and Losses

Series 24 - 4.6.1. Firewall Between the Research and Investment Banking Departments

SIE - Collateral Trust Bonds

Series 66 - 1.1.5.6. Profit Margins

Series 28 - Maintenance Margin

Series 82 - 2.2.1. Communications with the Public

Series 53 - 4.1.5.3.3. Withdrawals

Please Enable Javascript
to view this content!

Site Login

TESTIMONIALS

What are people saying?

Your exam prep is the best! Passed both the 6 and 63 using Solomon and I recommend it to everyone.

Karen, Colorado Springs, CO

I used another exam prep for my series 6, failed it. Then came across Solomon Exam Prep. I passed series 6 once and just passed series 63 yesterday. Thanks for a great material.

Toyin Daranijoh, Primerica, Kalamazoo, MI

I passed the 63 on the first try with Solomon Exam prep! The Exam Simulator was amazing and the Audiobook really helped!!!

Brad Eiden, Jefferson National, Louisville, KY

Thank you guys for the outstanding prep materials. I took the Series 79 and 63 in the same week and passed both the first time with great scores. I could not have been better prepared. Your exam simulator is especially awesome! Nothing on either exam surprised after.

Richard Walters, Virginia Beach, VA

I failed the 63 three times over the course of four years. I passed the first time after taking your course.

Senica Omernik, Farmers Insurance, Stevens Point, WI

I thought you might appreciate knowing that I passed the test with a 90 today. Thanks again for all the help and good quality material that your company has. I am very glad to have used your materials and will certainly refer others to Solomon Exam Prep. (Series 6 & 63)

Matthew Baird, Gloversville, NY