Jurisdiction of the State Administrator - Series 63 Exam, Series 65 Exam and Series 66 Exam Prep скачать в хорошем качестве

Jurisdiction of the State Administrator - Series 63 Exam, Series 65 Exam and Series 66 Exam Prep

Must watch    • Mighty Ninety Series 66/65/63 Exam. 90 Tes...   Time stamps: 00:00 Introduction 2:17 Offer 2:55 Sale (offer accepted=transaction) 3:30 Gift of ASSESABLE STOCK is subject to jurisdiction! 4:22 Sales DO NOT INCLUDE and therefore are NOT subject to the Administrator's jurisdiction 4:37 Gift on NON-assessable stock 4:41 Stock dividends and stock splits 4:57 Bona fide pledge of securities as collateral 5:40 Securities issued for a merger or acquisition or business reorganization 6:19 ADMINSTRATOR DOES HAVE JURISDICTION OF OFFERS THAT ORIGINATE IN THEIR STATE, DIRECTED TO THEIR STATE OR ACCEPTED IN THEIR STATE 7:50 Do not have jurisdiction if the check or certificates were mailed from their state 9:28 Enforcement of the Uniform Securities Act 11:21 Summary orders 12:20 Hearing within 15 days 12:24 Can subpoena in any state where there is a person registered in their state 12:49 Deny, suspend, or revoke a registration 16:10 Written findings and conclusions must be provided by the administrator 17:05 Jurisdictional retention for one year 17:20 Rights of recovery 18:20 Rights of rescission 18:57 Criminal penalties