Busy. Please wait.
or

Forgot Password?

Don't have an account?  Sign up 
or

taken
show password

why

Make sure to remember your password. If you forget it there is no way for StudyStack to send you a reset link. You would need to create a new account.

By signing up, I agree to StudyStack's Terms of Service and Privacy Policy.


Already a StudyStack user? Log In

Reset Password
Enter the email address associated with your account, and we'll email you a link to reset your password.

Remove ads
Don't know (0)
Know (0)
remaining cards (0)
Save
0:01
To flip the current card, click it or press the Spacebar key.  To move the current card to one of the three colored boxes, click on the box.  You may also press the UP ARROW key to move the card to the "Know" box, the DOWN ARROW key to move the card to the "Don't know" box, or the RIGHT ARROW key to move the card to the Remaining box.  You may also click on the card displayed in any of the three boxes to bring that card back to the center.

Pass complete!

"Know" box contains:
Time elapsed:
Retries:
restart all cards




share
Embed Code - If you would like this activity on your web page, copy the script below and paste it into your web page.

  Normal Size     Small Size show me how

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