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FINRA Series 63 (NASAA)

Category - Series 63

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What criminal penalties are specified for “willful violations” of the Uniform Securities Act?

license cancellation.
license suspension.
up to 3 years in prison or a $5,000 fine, or both.
up to 5 years in prison or a $10,000 fine, or both.

Explanation

Answer: C - The criminal penalties specified by the Uniform Securities Act for “willful violations” of the act are up to 3 years in prison or a $5,000 fine, or both, for each violation.

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FINRA Series 63 (NASAA)

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FINRA Series 63 (NASAA)

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