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series 66p3

Administartors May

QuestionAnswer
What is considered a person? Individual,Joint Account, Partnership, Corporation, Government,an Association.
According to the Uniform Securities Act who is not considered a Person? Administrator,Minor,Mentally incompetent person,or deceased.
Who must keep on file all registration statements received along w/a record of all suspensions,denials, and revocation orders of all registered persons? State Administrators.
All records Do Not have to be available for public inspection. True or False? False. All records must be available for public inspection Indefinitely.
State Administrators may Inspect broker-dealers In or Out of state WITH PROPER CAUSE.
Proper Cause means? A violation has been committed or that a violation is about to be committed.
Orders mean what? Commands from the Administrator that apply to one person or a group of specific individuals,
Orders apply to a limited number of people while rules apply to all persons. True or False? True.
A person or security wishing to register did not satisfy state law requirements. Is called what? Deny
A registered person violates state law.Is called what? Suspend
A registered person violates state law and is indefinitely banned from registration in the state. Is called what? Revoke
A registered person has died,been judged mentally incompetent,been missing,allowed registration to expire,or is no longer in business. Is called what? Cancel;If a persons registration has been cancelled,no violation has been committed.
If a Broker-Dealer or Investment adviser has locations in several states
Created by: Doylestown on 2013-01-09



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