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

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

[susanwade]

I’ve listened to this carve out several times and what you said about key words they use to trick you hit me….I would love a carve out of key “tricky” words/terms that they like to use….retesting for S66 the 29th of Jan. 😅

[GriffithCapitalGroup]

Great video Dean. Thank you Sir!!! Test is tomorrow at Prometric here in Vegas! 🤘🏻

[miigeorgia]

Passed the Series 63 this morning. Thank you again sir 🫡

[SandraFernandes]

day 4 of s66 of your videos Dean :) Happy Thanskgiving.

[narcissistskryptonite]

Another great video 👍 taking my 65 tomorrow 😱

[Wai]

Hi Dean, just to confirm, if a client is a resident of state CA, travel to NV(picked up phone from IAR soliciting the securities ), and accepted offer in OH, the CA administrator still wont have jurisdiction since the offer is not directed to or accepted in CA? thank you.

[Whatisgoingon-odyb]

Test tommorow for my s63. My second attempt 🙏🏼

[pijiuu]

are you sure RTFQ means read the "full" question??

[andreluizbaldo]

Dean. Can you confirm whether Reg A and Rule 144A are considered Non-exempted transactions and Subject to the state administrator jurisdiction? Thank you

[nathanpeters]

Hey Dean, could you explain why a sale of a warrant or right is considered an offer?

[juanitoqueintin]

14:36 can the administrator force an agent to get more training?

[the_grill_project]

Kapplan Q bank, Question ID: 1518261, got it right but just to confirm what interest rate are they talking about?

[danielplascencia]

Is statute of limitations for civil also 5 years?