Registration第 12 / 100 题
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
解析
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.
法律依据: Uniform Securities Act免费刷完整 100 道题库 — 无需注册。
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