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

Question # 68

If the Administrator revokes a broker-dealer’s registration, the firm may:

Options:

A.

Appeal the decision in state court

B.

Continue business until appeal is heard

C.

Register with the SEC instead

D.

Avoid sanctions with client consent

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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