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Question # 52

When an agent leaves a broker-dealer, who must notify the Administrator?

Options:

A.

Only the agent

B.

Only the old broker-dealer

C.

Both the agent and the broker-dealer

D.

Only the new broker-dealer

Viewing question 52 out of 69 questions
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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