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Why Register?

You're here studying for the Series 63 exam, so obviously you get the importance of registering. But in case you didn't know, let's just make this as clear as possible. Here's what the Uniform Securities Act has this to say about registration:

"It is unlawful for any person to transact business in this state as a broker-dealer or agent unless he is registered under this act."

Simple and to the point, no? The Uniform Securities Act then goes on to state:

"It is unlawful for any broker-dealer or...

Looking for more? Why is this annoying box in the way? It's because you haven't paid for the course yet!

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