Series 66 - Study guides, Class notes & Summaries

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A state regulated IA falls below the minimum financial requirements. What are the next 2 steps and what day do they occur? correct answers1. provide a notice to the state administrator the next day 2. file a statement of financial condition on the day after providing the notice A spouse inherits her deceased husband's IRA. What are her 3 options? What is 1 thing she can't do? correct answers1. transfer IRA to her own name and make contributions (if eligible) 2. treat it as ...

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