RegistrationPregunta 13 de 100
Unless renewed, the registration of a broker-dealer, agent, investment adviser, or investment adviser representative expires:
a.On the anniversary of the original effective date
b.Every two years on June 30
c.Only when the registrant ceases doing business in the state
d.On December 31 of each year
Explicación
State registrations run on a calendar-year cycle and expire on December 31 unless renewed by filing the required renewal and paying the annual fee. There is no rolling anniversary date and no two-year cycle under the act. A registrant who stops doing business must affirmatively withdraw rather than simply let the file lapse.
Referencia Legal: Uniform Securities ActPractica las 100 preguntas gratis — sin registro.
Preguntas relacionadas de este tema
- Absent a denial order or pending proceeding, an application for registration as a broker-dealer, agent, investment adviser, or investment adviser representative becomes effective:
- A state-registered investment adviser maintains custody of client funds and securities. Regarding financial requirements, the Administrator may:
- A registered broker-dealer files an application to withdraw its registration in a state. Which statement is correct?
- An individual represents a corporate issuer in selling only United States Treasury notes and general obligation bonds of the state to the public. Under the Uniform Securities Act, this individual:
- A certified public accountant prepares tax returns for a client. During the engagement she explains that municipal bond interest would reduce the client's tax bill and suggests he discuss municipal bonds with a broker. She charges only her standard tax preparation fee. Under the Uniform Securities Act, the accountant is:
- Which of the following is specifically excluded from the definition of broker-dealer under the Uniform Securities Act?
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