Julia Hasty has recently applied with the Administrator to be a registered investment adviser in...

No. As long as her application has been submitted and is pending acceptance, Julia has not violated any provisions of the Uniform Securities Act.

No. The provisions of the Uniform Securities Act relate to securities, not people.

Yes. Julia is not permitted to advertise as a “state-registered” investment adviser until she receives notification of the acceptance of her application by the state Administrator.

No. Julia has merely put her business cards in waiting rooms. She has not opened her business to clients yet.