Series 63: 2.1.4 Termination Of A Broker-Dealer’s Registration

Taken from our Series 63 Online Guide

2.1.4 Termination of a Broker-Dealer’s Registration

Recall that registration as a broker-dealer is by no means permanent. At bare minimum, state and federal approval to operate can terminate on December 31 of any year simply because a broker-dealer forgets

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