Law, 22.07.2020 21:01 carterlewis02
An Administrator of a state may deny an application by a broker-dealer for registration according to the USA, if the broker-dealer applicant:.
a. has no experience
b. has been suspended by the London Stock Exchange
c. has been convicted of a misdemeanor involving life insurance policy
d. has been investigated by an Admin in another state for securities law violations
Answers: 3
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