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Details Title: Series 63 Description: Registration of Persons Total Flash Cards: 15 Created: 12/05/2004 05:22:03	To study from this set of flash cards, or to create your own your own study flash cards, register HERE. If you are already a registered user, CLICK HERE.
Cards Term 1 Definition The Uniform Securities Act states that a Person may either trade or issue securities. Who is included in the definition of a "Person"? Term 2 Definition Under the Uniform Securities Act, what is the definition of an Agent? Term 3 Definition What is the definition of an Investment advisor? Term 4 Definition What persons are excluded from the Investment Adviser definition? Term 5 Definition When an agent moves from one broker-dealer to another, who is required to promptly notify the Administrator of the change? Term 6 Definition Agents are prohibited from registrering individually with the State Administrator. How are agent registrations performed? Term 7 Definition In certain situations an agent may conduct securities business in a state prior to his registration becoming effective, provided that what conditions are met? Term 8 Definition How may an investment adviser be exempt from registration in a State? Term 9 Definition What information does the State Administrator require on the registration application? Term 10 Definition What may states require of an investment adviser registered with the SEC? Term 11 Definition What information may the State Administrator require register broker-dealers and investment advisers to maintain on file? Term 12 Definition The Administrator may deny, suspend, or revoke the registration of an agent, broker-dealer, or investment adviser on what grounds? Term 13 Definition What must the Administrator give to the registrant and employing broker-dealer if he has summarily denied, suspended, or postponed a registration? Term 14 Definition An Administrator may cancel a registered person's registration under what circumstances? Term 15 Definition What provisions must an investment advisory contract contain?