Challenge Your Exam Readiness With Our Free Series 63 License Practice Questions

Question # 59

An Administrator suspends a broker-dealer’s registration. The firm is entitled to:

Options:

A.

No further process

B.

A hearing upon request

C.

Automatic reinstatement after 30 days

D.

Appeal only through the SEC

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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