Q:
When an agent of a broker-dealer begins employment with another broker-dealer, who is responsible for notifying the state administrator of the change?
A) The agent
B) The prior employer
C) The new employer
D)
A:
The correct answer is D).
When an agent moves from one broker-dealer's employ to another, all parties are responsible for notifying the state administrator of the change.

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    The correct answer is b. I, II and III are correct since all parties are required to notify the Administrator.
  2. ABC Broker-dealer has no office in state and transacts fewer than five trades during ...

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