Agent registration - Study guides, Class notes & Summaries

TFM08 TEST WITH 100% SOLUTION 2023//2024 Fire Protection Sprinkler System - ANSWER an assembly of underground or overhead piping or conduits that conveys water with or without other agents to dispersal openings or devices to: (A) extinguish, control, or contain fire; and (B) provide protection from exposure to fire or the products of Fire protection sprinkler system contractor - ANSWER an individual or organization that offers to undertake, represents itself as being able to undertak...

Dealer correct answers Transacts business for its own account Broker correct answers Transacts business for others CRD correct answers Provides registration info regarding Bkr/dlrs and registered persons Non-registered person correct answers Cannot solicit order for new accts, provide investment advice, make recommendations, give pricing info, or execute transactions ADV (Investment Adviser Registration) Part I correct answers Name, # of employees, background of partners, how the adv...

PA Exam 3 with 100% Correct Answers 2023 Which of the following are NOT grounds in Pennsylvania for revoking a broker's license? A Being convicted of a felony B Agreeing with the seller to accept a commission that is more than the standard rate C Depositing an earnest money check into the broker's personal account D Advertising as a member of the Pennsylvania Association of Real Estate Professionals when the broker is not really a member - Correct Answer-B It is perfectly legal to agr...

Nevada MPJE Questions and Answers Already Passed True or false: "take as directed" does not fulfill the directions for use requirements for controlled substances. true. Controlled Rx must clearly specify dosage, frequency, and manner in which the drug is to be taken. How often must practitioners or other people who dispense controlled substances obtain registration from the DEA? every 2 years True or false: an agent or employee of a registered dispenser is not required to regist...

Nevada MPJE Exam Questions And Answers True or false: "take as directed" does not fulfill the directions for use requirements for controlled substances. - ANS true. Controlled Rx must clearly specify dosage, frequency, and manner in which the drug is to be taken. How often must practitioners or other people who dispense controlled substances obtain registration from the DEA? - ANS every 2 years True or false: an agent or employee of a registered dispenser is not required to reg...

Which of the following statements are TRUE concerning certain federal covered securities? The Administrator may require the issuer to pay a filing fee The Administrator may bring enforcement action if fraud is involved The Administrator may require the issuer to file a consent to service of process The Administrator will grant the registration after a final review of the filing ☑: I, II, and III only The National Securities Markets Improvement Act (NSMIA) places limits on states' pow...

One example of a Loan Originator would be a(n) A. family member. B. a real estate agent. C. associate lender. D. seller who finances more than two homes in a two year period. - Answer-D Why does a real estate professional need a license? A. He has specific information to be able to show a house. B. He has specific information to lease a house. C. He has expert information on real estate that an average layperson does not have. D. He does not need a license; he can sell...

All of the following are included in the definition of person under the Uniform Securities Act EXCEPT a deceased individual an unincorporated association a political subdivision the custodian for a minor a deceased individual A minor, but not the custodian, a deceased individual, and an individual whom the court has deemed incompetent are not persons under the USA. Natural persons and legal entities are persons under the USA. 1.1 The term "person", as defined in the Uniform ...

Under the Uniform Securities Act, which individual is considered to be an agent? A secretary who accepts customers' securities orders A principal of a broker-dealer A person who solely performs clerical functions A silent partner of a broker-dealer correct answers A secretary who accepts customers' securities orders Registration by coordination is used in conjunction with which of the following Acts? The Securities Act of 1933 The Securities Exchange Act of 1934 The Investment Co...

Mpje Exam Questions and Answers 100% Correct DEAform 224 renew every? - Answer- new pharmacy registration to dispense controlled substances (application for new registration) - pharmacy registration is renewed every 3 years (renewal registration form DEA form 224a - chain=224b) - registration kept onsite - issued by attorney gen. 3 exceptions for registration for dispensing controlled substances - Answer- employees, contract carrier, ultimate user who has to obtain a registration as a ch...