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Question 11: To continue operating as an agent, broker-dealer, investment adviser, or investment adviserrepresentative next year, you must pay the filing fee to renew your license with the state
Administrator by
A. January 15th of the new year.
B. January 30th of the new year.
C. December 31st of this year.
D. the anniversary date of the original issue date on your license.
Correct Answer: C
Explanation: To continue operating as an agent, broker-dealer, investment adviser, or investment
adviser
representative next year, you must pay your filing fee to renew your license by December 31st of this
year.
Otherwise, your license will expire. There is no grace period.
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