Solved

Until Yesterday Maddie Was a Registered Agent Employed by the Broker-Dealer

Question 26

Multiple Choice

Until yesterday Maddie was a registered agent employed by the broker-dealer, QuikDeals. Yesterday afternoon, issues that had been brewing between her and another employee of the firm came to a head, and Maddie impulsively quit her job. At this point,


A) Maddie has thirty days to find a job with another broker-dealer, or she will need to file a new registration application.
B) Maddie has sixty days to find a job with another broker-dealer, or she will need to file a new registration application.
C) Maddie will have to file a new application for registration with the Administrator upon finding employment with another broker-dealer since she is no longer considered to be a registered agent by the state.
D) Maddie is required to call all of her clients at QuikDeals to inform them she is no longer employed there.

Correct Answer:

verifed

Verified

Unlock this answer now
Get Access to more Verified Answers free of charge

Related Questions

Unlock this Answer For Free Now!

View this answer and more for free by performing one of the following actions

qr-code

Scan the QR code to install the App and get 2 free unlocks

upload documents

Unlock quizzes for free by uploading documents