RegistrationCâu 12 / 100
A registered broker-dealer files an application to withdraw its registration in a state. Which statement is correct?
a.The withdrawal is effective immediately upon filing
b.The withdrawal never becomes effective if a customer complaint is on file
c.The withdrawal becomes effective thirty days after filing unless a proceeding is pending, and the Administrator retains jurisdiction for one year to institute a revocation or suspension proceeding
d.The Administrator loses all authority over the firm the moment the application is filed
Giải thích
Withdrawal becomes effective thirty days after filing, or earlier if the Administrator so determines, provided no revocation or denial proceeding is pending. The Administrator keeps jurisdiction for one year after the withdrawal takes effect and may still enter a revocation or suspension order. A pending complaint alone does not permanently block a withdrawal.
Trích dẫn luật: Uniform Securities ActLuyện miễn phí toàn bộ 100 câu hỏi — không cần đăng ký.
Câu hỏi liên quan cùng chủ đề
- Which individual at a state-registered investment advisory firm would be considered an investment adviser representative?
- 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:
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