Series 63 podcast · Episode 13
Administrative Actions
47 min of listening
Remedies and Administrative Provisions. Available inside the full CertFuel Series 63 course in the app.
Pair listening with reading
Follow along with
the written unit.
Listen at your own pace, then use the matching lesson to revisit the details. The written material includes:
- Cease and Desist Orders
- Denial, Suspension, and Revocation of Registration of Persons
- Stop Orders for Securities Registrations
- Federal Covered Securities: Notice Filing
- Judicial Review of Administrator Orders
Put this episode into practice with adaptive questions and flashcards in the full Series 63 course.