Administartors May
Quiz yourself by thinking what should be in
each of the black spaces below before clicking
on it to display the answer.
Help!
|
|
||||
|---|---|---|---|---|---|
| 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 |
🗑
|
Review the information in the table. When you are ready to quiz yourself you can hide individual columns or the entire table. Then you can click on the empty cells to reveal the answer. Try to recall what will be displayed before clicking the empty cell.
To hide a column, click on the column name.
To hide the entire table, click on the "Hide All" button.
You may also shuffle the rows of the table by clicking on the "Shuffle" button.
Or sort by any of the columns using the down arrow next to any column heading.
If you know all the data on any row, you can temporarily remove it by tapping the trash can to the right of the row.
To hide a column, click on the column name.
To hide the entire table, click on the "Hide All" button.
You may also shuffle the rows of the table by clicking on the "Shuffle" button.
Or sort by any of the columns using the down arrow next to any column heading.
If you know all the data on any row, you can temporarily remove it by tapping the trash can to the right of the row.
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
Normal Size Small Size show me how
Created by:
Doylestown
Popular Finance sets