RegistrationPregunta 33 de 100
A registered broker-dealer discovers that information in its original state application has become materially inaccurate. The firm should:
a.Wait and correct the information at the next annual renewal
b.Correct the information only if a customer or the Administrator asks about it
c.Promptly file an amendment with the Administrator correcting the information
d.Withdraw its registration and file a new application
Explicación
Registrants must keep their filings current and promptly amend any information that becomes inaccurate or incomplete in a material respect. Waiting for renewal or for someone to ask leaves a false filing on record, which is itself a ground for discipline. Withdrawing and refiling is a drastic step the act does not require for a simple amendment.
Referencia Legal: Uniform Securities ActPractica las 100 preguntas gratis — sin registro.
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