Which of the following is a post-registration requirement that applies to broker-dealers under the Uniform Securities Act?

Which of the following is a

Multiple choice — select the best answer

AFiling a new application with the state Administrator whenever a principal leaves the firm
BObtaining written consent from every client before effecting any securities transaction
CMaintaining books and records as prescribed by the Administrator and making them available for inspection
DRegistering each branch office in every state where any client is located, regardless of business volume

✓ Correct answer: C. Maintaining books and records as prescribed by the Administrator and making them available for inspection The USA requires registered broker-dealers to maintain books and records in the form the Administrator prescribes and to make them available for examination, which is a core ongoing post-registration obligation distinct from the initial application process.

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Topic: Uniform Securities Agent State Law

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