the Uniform Securities Law, broker-dealers are
required to sign a consent to service of process.
Filing such a consent means that:
a) The individual may not be required to give
self-incriminating testimony in the event of a proceeding.
b) The Administrator is permitted
to assess fines or other penalties in the event of
a violation of
c) The Administrator is empowered to receive suits
on behalf of the individual.
d) The individual is under the jurisdiction of the
Administrator for up to a year after registration