Series 63 practice questionmediumService of Process—Parties Affected
Which of the following would NOT need to file a consent to service of process when registering in a state under the USA?
- AA broker-dealer agent
- BThe state Administrator✓ Correct answer
- CAn investment adviser representative
- DA broker-dealer firm
Explanation
Why B — The state Administrator
State Administrators do not register and thus do not file consent; all others listed are required to file under Section 414(g).
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