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Exam Series 63 All Questions

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Exam Series 63 topic 1 question 22 discussion

Actual exam question from FINRA's Series 63
Question #: 22
Topic #: 1
[All Series 63 Questions]

Once a broker-dealer has applied for and been granted state registration, the registration remains valid

  • A. until December 31st.
  • B. for twelve months.
  • C. for three years.
  • D. for five years.
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Suggested Answer: A 🗳️
Once a broker-dealer has been granted state registration, that registration is valid until December 31st of that year. Registration automatically terminates annually on December 31st although an Administrator may elect to revoke or suspend a broker-dealer's registration at any time if the Administrator finds just cause.
by lolojepu at April 6, 2025, 1:36 a.m.

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