Laws & RegulationsCâu 10 / 100
The state Administrator may deny, suspend, or revoke the registration of an agent if the agent:
a.Earns high commissions in a given year
b.Recommends a product the Administrator personally dislikes
c.Has been convicted of a securities-related felony within the past ten years
d.Chooses to work for more than one broker-dealer with proper registration
Giải thích
The Administrator may take disciplinary action for enumerated causes, including a securities-related felony conviction within the prior ten years. High commissions or personal preference are not statutory grounds. Registration actions must be based on cause and are subject to notice and hearing rights.
Trích dẫn luật: Uniform Securities ActLuyện miễn phí toàn bộ 100 câu hỏi — không cần đăng ký.
Câu hỏi liên quan cùng chủ đề
- A federal covered investment adviser with clients in five states is generally subject to registration and oversight primarily by:
- An agent tells a customer, 'This stock is guaranteed to go up because the state Administrator approved the registration.' This statement is:
- Which of the following is an exempt TRANSACTION under the Uniform Securities Act?
- Under NASAA model rules on custody, an investment adviser that has custody of client funds or securities generally must:
- A broker-dealer with no place of business in a state deals exclusively with which type of client and may qualify for an exemption from registration in that state?
- Under the Investment Advisers Act, an adviser's brochure (Form ADV Part 2) must be delivered to a client:
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