RegistrationCâu 33 / 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
Giải thích
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.
Trích dẫn luật: Uniform Securities ActLuyện miễn phí toàn bộ 100 câu hỏi — không cần đăng ký.
Câu hỏi liên quan cùng chủ đề
- For purposes of the institutional exception from the broker-dealer definition, which of the following clients would NOT preserve the exception?
- An agent is registered only in State A. Her broker-dealer is registered in both State A and State B. She begins cold-calling residents of State B from her desk in State A. Which statement is correct?
- Which statement about issuers under the Uniform Securities Act is correct?
- An agent's employing broker-dealer voluntarily withdraws its state registration. Absent any other affiliation, the agent's registration in that state:
- An investment advisory firm has its only office in State D, where it is registered. It also serves three individual clients in State E and four individual clients in State F, with no office in either. Which statement is correct?
- An unregistered individual introduces investors to a small private company and receives a percentage of every dollar the investors put in. The most likely conclusion under the Uniform Securities Act is that she:
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