Wiley Series 63 Securities Licensing Exam Review 2019 + Test Bank by Wiley

Author:Wiley [Finra]
Language: eng
Format: epub
ISBN: 9781119553175
Publisher: Wiley
Published: 2018-11-15T00:00:00+00:00

A client who takes action against an investment adviser is entitled to all of the following under the USA, EXCEPT: reimbursement of fees.

attorney's fees.

treble damages.

interest on money.

An agent has displayed a pattern of abusive activity. The administrator may take action against which of the following? I. The agent

II. The principal of the firm

III. The firm

IV. Industry regulators for failing to supervise the firm

I only

I and III

I, II, and III

I, II, III, and IV

A customer who has rejected a broker dealer's offer of rescission may do which of the following under the USA? Reserve the right to accept the offer at a later date

Sue the firm in court

Take the firm to arbitration

The customer has given up his or her rights of recovery

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