Series 63 practice questioneasyOrders and notices
Before denying, suspending, or revoking a registration, the Administrator must provide:
- AAppropriate prior notice and an opportunity for a hearing.✓ Correct answer
- BImmediate revocation without notice.
- CA criminal indictment.
- DA written confession from the registrant.
Explanation
Why A — Appropriate prior notice and an opportunity for a hearing.
The USA requires administrators to provide notice, opportunity for a hearing, and written findings before taking such actions (USA Sec 402). Immediate revocation is not permitted without due process.
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