Series 63: 1.3.2.1. Disciplinary Action Against An IAR

Taken from our Series 63 Online Guide

1.3.2.1. Disciplinary Action Against an IAR

As with investment advisers, lifetime registration as an investment adviser representative is by no means guaranteed after someone is initially approved. State approval as an IAR terminates on December 31 of each year. If it is not properly renewed, an IAR’s registration will be revoked. For a full list of reasons registration can be terminated, please see “Termination of an Investment Adviser Registration.”. However, for IARs, there is one exception: in the case of withdrawal, an adviser may terminate an IAR’s registration at any time by filing Form U5. The with

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