# [Series 65] 68, Uniform Securities Act Overview

Page: https://stenobird.com/podcast/open-exam-prep-7140559/series-65-68-uniform-securities-act-overview
Text version: https://stenobird.com/podcast/open-exam-prep-7140559/series-65-68-uniform-securities-act-overview.md
Podcast: [Open Exam Prep](https://stenobird.com/podcast/open-exam-prep-7140559)
Published: 2026-05-31T01:01:53+00:00
Episode link: https://open-exam-prep.captivate.fm/episode/series-65-68-uniform-securities-act-overview
Audio file: https://episodes.captivate.fm/episode/1c59c7db-3aae-4112-a52e-8443d10e4bec.mp3
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JSON: https://stenobird.com/v1/public/podcasts/open-exam-prep-7140559/episodes/series-65-68-uniform-securities-act-overview
Duration seconds: 159

## Resource

This podcast is made by Ran Chen, who holds an EA license, Insurance and Securities licenses (Series 6, 63, 65), and the CFP® designation. He is passionate about opening access to high-quality exam preparation resources and helping learners prepare more effectively for professional certification exams. In this episode you will learn: - How to determine if an offer falls under a state Administrator's jurisdiction based on origination and receipt. - The crucial two-part test an Administrator must satisfy to deny, suspend, or revoke a registration. - The key differences between a punitive action like revocation and a non-punitive action like cancellation. - The specific 60-day window to appeal an Administrator's order. - The separate statutes of limitations for civil (3 years/2 years) and criminal (5 years) violations. For more free exam prep tools, practice questions, and AI-powered explanations, visit https://open-exam-prep.com/ or YouTube Channel: https://www.youtube.com/@Open-exam-prep

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## Transcript

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