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FINRA Series 63 (NASAA)

Category - Series 63

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Which of the following constitutes a non-punitive order?

summary license suspension
registration cancellation
registration denial
All of the above are punitive orders.

Explanation

Answer: B - Registration cancellation is a non-punitive order. The Administrator issues a cancellation order if a registered person dies, becomes mentally incompetent, is no longer in business, or is unable to be located.

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FINRA Series 63 (NASAA)

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FINRA Series 63 (NASAA)

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