Must watch • Series 66 Exam, Series...
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
24 июл 2024
