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Author Question: Which of the following is not grounds for license suspension or revocation? A) Conviction for ... (Read 71 times)

jhjkgdfhk

  • Hero Member
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  • Posts: 569
on: Jun 24, 2018
Which of the following is not grounds for license suspension or revocation?
 A) Conviction for felonious burglary
 B) Violation of fair housing laws
 C) Suit by a buyer for misrepresentation
 D) Commingling of funds
 E)All of the above

Question 2

A prospectus sets forth:
 A) the key information contained in the registration statement.
 B) information on stocks approved by the SEC.
 C) information that the SEC has not reviewed.
 D) information as to whether the investment is risk-free.


bpool94

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  • Posts: 354
Reply #1 on: Jun 24, 2018
Answer to Question 1

C

Answer to Question 2

A


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