Series 63

if information with the administrator changes a BD must give notification how soon?

ASAP (Promptly)

• no exact time frame

when a agent leaves a firm and goes to a different BD who must notify the administrator

the old BD, new BD, and the agent must all notify the administrator

• Supervisor does not

what does easily accessible mean exactly

in the BDs principal office

when a BD passes the exam to register in the state when does it become effective

Noon on the 30th day

withdrawal of registration of a BD

Effective on the 30th day

Disclosure of bankruptcies within how many years when registering as an agent

10 years

when is a surety bond required when registering as an agent

when exercising discretion

• AAA

  • Asset

  • Amount

  • Action