RegistrationPregunta 8 de 100
An agent resigns from Broker-Dealer One and joins Broker-Dealer Two the following week. Under the Uniform Securities Act, notice of the change must be given to the Administrator by:
a.The agent only
b.Broker-Dealer One only
c.Broker-Dealer Two only
d.The agent, Broker-Dealer One, and Broker-Dealer Two
Explicación
When an agent begins or terminates a connection with a broker-dealer or issuer, the act places the notification duty on all three parties: the agent, the firm being left, and the firm being joined. An agent's registration is not effective during any period when the agent is not associated with a registered broker-dealer or issuer, which is why the transition must be documented on both ends.
Referencia Legal: Uniform Securities ActPractica las 100 preguntas gratis — sin registro.
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