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Obviously, you get the importance of registering if you’re studying to take the Series 63 exam, so let’s make this as clear as possible, just in case you didn’t already know. 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-deal...
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