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Sam Shyster had his day in court-and lost.

FINRA Series-63 Full Course Access
FINRA Series-63 View All Questions

Sam Shyster had his day in court-and lost. His license to do business as an investment adviser in the state has been revoked. What legitimate options does Sam have available to him now?

A.

Sam can move to another state and apply for registration as an investment adviser there.

B.

Sam has 45 days in which to file an appeal with the attorney general.

C.

Sam can register with the SEC as an investment adviser, which will exempt him from state registration requirements.

D.

Sam has 60 days to file an appeal of the decision in a court of law.

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