You had the misfortune of working as a registered agent for an unscrupulous broker-
Dealer. You weren't privy to any of it, but apparently, your broker-dealer was guilty of some fraudulent activities and has had his license revoked. In this instance,
A) you can simply find another broker-dealer to hire you and have your license transferred to him.
B) you are no longer a licensed agent with the state and must reapply for a license in order to work for another broker-dealer.
C) the state Administrator will assign you and any other affected agents to work for other broker-dealers registered with the state.
D) you must wait until the broker-dealer's day in court before you can work in the securities industry again because the Administrator will want to be certain that you knew nothing of it.
Correct Answer:
Verified
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