An Administrator of a state may deny an application by a broker-dealer for registration according to the USA, if the broker-dealer applicant:___________.
a. has no experience
b. has been suspended by the London Stock Exchange
c. has been convicted of a misdemeanor involving life insurance policy
d. has been investigated by an Admin in another state for securities law violations

Answers

Answer 1

Answer:

b. has been suspended by the London Stock Exchange

Explanation:

The most suitable option is B which says Administrator of a state may deny an application by a broker-dealer for registration according to the USA, if the broker-dealer applicant has been suspended by the London Stock Exchange which is the regulatory and top body in stock exchange.

Options A, C, and D don't provide enough reasons for Administrators to deny applications.

Related Questions

Ian Kendler makes Brian Hyson an offer for a plot of land. In the offer, Kendler stipulates that the acceptance of the offer must be sent by registered mail but Hyson mails his acceptance through the regular postal service. Which of the following is true? Assume that the Restatement (Second) of Contracts does not apply.

a. There is no acceptance and no contract.
b. A contract was formed at the time Hyson dispatched the letter.
c. A contract was formed at the time Kendler received the letter.
d. The acceptance is invalid because the contract does not relate to sale of goods

Answers

The correct answer is A) There is no acceptance and no contract

tell me something funny for some points

Answers

Answer:

1.welcome to kenya where our parent expect us to get married but don't want to see us dating.

2.Last night a thief broke into my room and started searching for money so I woke up and started searching with him.

step by step explanation

I hope this helps.

Explanation:

why did tge chicken cross the road to go to tge lesbians house knock knock whos there the chicken

When analyzing a strand of hair, investigators would first try to collect DNA from which general location?

Answers

Answer:

from the hair follicle

Hair close to the scalp

Most illegal immigrants come from which country?

Answers

most illegal immigrants come from mexico

Mexico has been identified as the country from which the largest number of illegal immigrants come, particularly to the United States.

Mexico refers to a country that has been identified as a significant source of illegal immigrants, particularly in relation to the United States. Situated in North America, Mexico shares a border with the United States, making it geographically accessible for migration.

Economic factors, including limited job opportunities and lower wages in Mexico, often drive individuals to seek better prospects across the border.

Political and social factors, such as violence, corruption, and instability, also contribute to migration flows. The complex interplay of these factors makes Mexico a notable origin country for illegal immigration.

Learn more about immigrants here:

https://brainly.com/question/28791683

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What are some examples of transferable skills and how can they help you obtain an interview and ultimately, a new job?

Answers

Some examples of transferable skills are leadership, communication, social skills, there are many more but these can get you a job or an interview because they are skills that you use in the real world. These skills help you become well prepared and to be able to be professional when necessary. If the person who is interviewing you or going to hire you notices these skills, they might show that you are better qualified that others.

The model of criminal justice that is focused on protecting defendants’ rights is known as the ______ model.

Answers

Answer:

the due process model

Explanation:

hope this helps :)

Answer:process

Explanation:

1. What are the steps a bill takes before it becomes a law?

Answers

Answer:

Well, A bill is born and being proposed the bill is referred to the committee, Which at this point the bill is examined carefully by the committee. Then, The bill is being marked up by the subcommittee

Committee action to report

the bill

Voting

And, If the bill passed the voting, it's referred to other chamber

Conference committee action, After the house and senate approve the bill, It can be brought up to the president. Hope That Helps!!~

is unemployment considered government assistance

Answers

Answer; yes you can say that

Explanation: its basically unemployment benefits

Sonny borrowed a vacuum cleaner from his friend so that he could vacuum his house. He did not pay anything to use it. When Sonny brought the vacuum cleaner back to his friend's house, it was not working properly. His friend noticed that Sonny had improperly used the vacuum cleaner. What type of bailment was created? Group of answer choices

Answers

Answer: it was destruction of another persons property which means he committed a mister-miner crime which means he would have to fix the vacuum cleaner or give his friend a new vacuum cleaner

Explanation:

I am not sure what is the answer

Answers

Answer:

community policing your answer these

Ozzy recently started working at a new company. He has been solicited several times to join the union of the company, but he would prefer not to. The union officials tell Ozzy that he won’t be allowed to keep working unless he joins the union. Which of the following is true?

Answers

Hello. This question is incomplete. The full question is:

-The union officials are pretending they have a closed shop and can't influence Ozzy's decision.

-The union can't make Ozzy join the union, but it can require him to pay union dues.

-Ozzy must now join the union because union shops are always legal.

-Ozzy's requirement to join the union depends on his state of employment.

Answer:

-The union can't make Ozzy join the union, but it can require him to pay union dues.

Explanation:

There is a law called the National Labor Relations Act that states that no employee should be required to be part of the union and that membership in the union should not be placed as a requirement for the occupation of a particular labor function. However, some states and some companies may adopt different approaches to their employees and the union.

In some states in the country, although an employee is not required to become a member of a union, they allow an obligation for all employees to be required to pay at least part of the union's dues. In this case, we can say that in relation to the case shown in the question above, the union can't make Ozzy join the union, but it can require him to pay union dues.

Which of the following would likely be considered only an infraction?
A. A parking violation by a driver with a previously perfect record
B. A violent crime under the aggravating circumstances of having
been provoked
C. An act of arson that led to the destruction of property, but not to
the physical harm of any person
D. A first act of shoplifting merchandise with a value of a few
hundred dollars

Answers

Answer:

Explanation:

Choices B-D are either criminal charges, or a misdemeanor. Someone with no previous record is likely to receive a warning (not even a citation/infraction).

Answer:

A. A parking violation by a driver with a previously perfect record

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