FINRA Uniform Securities State Law Examination Series-63 Question # 26 Topic 3 Discussion

FINRA Uniform Securities State Law Examination Series-63 Question # 26 Topic 3 Discussion

Series-63 Exam Topic 3 Question 26 Discussion:
Question #: 26
Topic #: 3

n No: 85

Which of the following is not in itself a reason for the Administrator to deny, suspend, or revoke the license of a person?


A.

The applicant has never before worked in the securities industry although he has received the requisite training.


B.

Some of the information supplied on the registration application was found to be false.


C.

The person has been convicted of check kiting within the past ten years.


D.

The person is a broker-dealer whose agents have repeatedly been accused of churning and burning, according to written client complaints.


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