Series63 Exam Dumps | Once a person has filed an application with the Administrator, and in doing so has truthfully disclosed

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Uniform Securities Agent State Law Examination
FINRA.Series63.v2023-12-18.q101
Question 13

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Question 13/101

Once a person has filed an application with the Administrator, and in doing so has truthfully disclosed every material fact, how long does the Administrator have after the effective date of the registration to commence a proceeding to deny, suspend, or revoke that person's license based on those facts?

A. 30 days.

B. 60 days.

C. 90 days.

D. one year.

Correct Answer: C

Explanation
If a person has appropriately and truthfully disclosed every material fact on its application for registration, the Administrator has 90 days after the registration becomes effective to commence a proceeding to deny, suspend, or revoke the license. If the Administrator has known about the fact for longer than this, he may not begin a proceeding against that person according to the Uniform Securities Act.

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