FINRA Uniform Securities State Law Examination Series-63 Question # 8 Topic 1 Discussion

FINRA Uniform Securities State Law Examination Series-63 Question # 8 Topic 1 Discussion

Series-63 Exam Topic 1 Question 8 Discussion:
Question #: 8
Topic #: 1

Until yesterday Maddie was a registered agent employed by the broker-dealer, QuikDeals. Yesterday afternoon, issues that had been brewing between her and another employee of the firm came to a head, and Maddie impulsively quit her job.

At this point,


A.

Maddie has thirty days to find a job with another broker-dealer, or she will need to file a new registration application.


B.

Maddie has sixty days to find a job with another broker-dealer, or she will need to file a new registration application.


C.

Maddie will have to file a new application for registration with the Administrator upon finding employment with another broker-dealer since she is no longer considered to be a registered agent by the state.


D.

Maddie is required to call all of her clients at QuikDeals to inform them she is no longer employed there.


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