Question of the Week

A person whose registration has been revoked by an Administrator due to a felony conviction of a securities-related crime within the last 10 years is prohibited from registration as:

I. Broker-dealer principal
II. Sales representative
III. Investment adviser
IV. Investment adviser representative

a) I, II, III & IV
b) III & IV
c) I & II
d) II only


Answer:

The correct answer is a.

The Administrator may suspend, deny or revoke registration in any capacity if the person has such a conviction by the Administrator of that state or any other.
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