Series63 Exam Dumps | Which of the following entities must sign a "consent to service of process," thereby allowing the Administrator

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Uniform Securities Agent State Law Examination
FINRA.Series63.v2023-12-18.q101
Question 27

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Question 27/101

Which of the following entities must sign a "consent to service of process," thereby allowing the Administrator to receive legal documents that are meant to be served to the entity in place of that entity?
I. agents
II. investment advisers
III. investment adviser representatives
IV. broker-dealers

A. I and IV only

B. II and III only

C. II and IV only

D. I, II, III, and IV

Correct Answer: D

Explanation
Agents, investment advisers, investment adviser representatives, and broker-dealers must all sign a consent to service of process, allowing the Administrator to receive legal documents in their stead. The consent to service of process must accompany the application for registration with the state or the documentation provided with a notice filing when permitted.

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