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Definition
| The Uniform Securities Act states that a Person may either trade or issue securities. Who is included in the definition of a "Person"? |
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Definition
| Under the Uniform Securities Act, what is the definition of an Agent? |
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Term
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Definition
| What is the definition of an Investment advisor? |
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Term
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Definition
| What persons are excluded from the Investment Adviser definition? |
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Term
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Definition
| When an agent moves from one broker-dealer to another, who is required to promptly notify the Administrator of the change? |
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Term
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Definition
| Agents are prohibited from registrering individually with the State Administrator. How are agent registrations performed? |
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Term
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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? |
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Term
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Definition
| How may an investment adviser be exempt from registration in a State? |
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Term
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Definition
| What information does the State Administrator require on the registration application? |
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Term
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Definition
| What may states require of an investment adviser registered with the SEC? |
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Term
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Definition
| What information may the State Administrator require register broker-dealers and investment advisers to maintain on file? |
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Term
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Definition
| The Administrator may deny, suspend, or revoke the registration of an agent, broker-dealer, or investment adviser on what grounds? |
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Term
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Definition
| What must the Administrator give to the registrant and employing broker-dealer if he has summarily denied, suspended, or postponed a registration? |
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Term
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Definition
| An Administrator may cancel a registered person's registration under what circumstances? |
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Term
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Definition
| What provisions must an investment advisory contract contain? |
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