RegistrationPregunta 23 de 100
A broker-dealer's state registration is suspended for sixty days. During the suspension, the registrations of the agents employed by that firm:
a.Remain fully effective because they were registered individually
b.Are automatically revoked and must be reapplied for
c.Transfer automatically to any affiliated firm
d.Are also not in effect, because an agent's registration is effective only while the agent is associated with a registered broker-dealer or issuer
Explicación
An agent's registration is derivative: it is effective only while the agent is associated with a registered broker-dealer or issuer, so suspending the firm suspends the agents' ability to act. The registrations are not revoked outright, so a brand-new application is not automatically required. Registrations do not migrate to affiliates by operation of law.
Referencia Legal: Uniform Securities ActPractica las 100 preguntas gratis — sin registro.
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