Which of the following statements about agents is (are) false?
A) If an agent files for bankruptcy, the Administrator may elect to terminate that agent's registration if the Administrator believes it is "in the public interest" to do so.
B) When an agent has a change of address, both he and his broker-dealer affiliate must inform the Administrator.
C) An agent must demonstrate a specific minimum level of financial stability for his registration application to be accepted.
D) All of the above are false statements.
Correct Answer:
Verified
Q25: Joe Romeo is a broker-dealer registered with
Q26: Until yesterday Maddie was a registered agent
Q27: Maddie, a registered agent affiliated with broker-dealer
Q28: Trevor is currently a registered agent in
Q29: Ding is an administrative assistant to the
Q31: Which of the following entities must sign
Q32: Which of the following would fall under
Q33: The 2003 NASAA Model Rule requires that
Q34: Individual states are prohibited from requiring a
Q35: A-2-Z Associates advertises itself as a full
Unlock this Answer For Free Now!
View this answer and more for free by performing one of the following actions
Scan the QR code to install the App and get 2 free unlocks
Unlock quizzes for free by uploading documents