RegistrationPregunta 32 de 100
An agent's employing broker-dealer voluntarily withdraws its state registration. Absent any other affiliation, the agent's registration in that state:
a.Continues until the next December 31 renewal date
b.Is unaffected because agents register independently of their firms
c.Is not in effect, because an agent may not act while unassociated with a registered broker-dealer or issuer
d.Automatically converts to an investment adviser representative registration
Explicación
The act states that an agent's registration is not effective during any period when the agent is not associated with a registered broker-dealer or issuer. Withdrawal by the firm therefore parks the agent's registration until a new affiliation is filed. Agent and investment adviser representative registrations are separate categories and never convert automatically.
Referencia Legal: Uniform Securities ActPractica las 100 preguntas gratis — sin registro.
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