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Question # 51

If an agent’s registration is denied in a state, the Administrator must:

Options:

A.

Provide the agent with written notice and opportunity for a hearing

B.

Automatically impose a permanent lifetime ban

C.

Refer the case directly to the SEC

D.

Require the agent to register in another state

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Series 63 License Overview

Name Series 63 License
Code Series 63 License
Vendor Finance, Insurance and Real Est
Certification Financial Industry Regulatory Authority (FINRA)

Series 63 License Questions