Series 63: Termination Of An Agent’s Registration

Termination of an Agent’s Registration

We have seen that an agent’s registration is not permanent. At bare minimum, it can terminate on December 31 of any year simply because the broker-dealer forgets to submit their renewal paperwork. Additionally, as with broker-dealers, investment advisers, and investment adviser representatives, it can also terminate or be restricted at any time for a variety of other reasons. For a full list of reasons registration can be terminated, please see “Termination of an Investment Adviser Registration”. However, for agents, there is