SERIES-63 practice question 3 of 35

It has come to the attention of the Administrator of the state that Samuel Shyster provided false information on his application to become a…

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It has come to the attention of the Administrator of the state that Samuel Shyster provided false information on his application to become a registered investment adviser with the state. Prior to revoking Samuel’s license, the Administrator will provide Samuel with which of the following? I . prior notice II . an opportunity to fill out a new registration statement III . an opportunity for a hearing IV . a written statement regarding the facts and the legal consequences
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Question 3 of 35

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