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Exit VCEDump FINRA-SERIES-63 FINRA Uniform Securities Agent State Law

Q10 Single choice

Sam Shyster had his day in court-and lost. His license to do business as an investment adviser in the state has been revoked.

What legitimate options does Sam have available to him now?

A
Sam can move to another state and apply for registration as an investment adviser there.
B
Sam has 45 days in which to file an appeal with the attorney general.
C
Sam can register with the SEC as an investment adviser, which will exempt him from state registration requirements.
D
Sam has 60 days to file an appeal of the decision in a court of law.

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