Denial, Revocation, Suspension, Cancellation, and Withdrawal

What this video covers

• Why every disciplinary action (denial, suspension, revocation, bar, censure, or restriction) requires both a statutory ground and a public-interest finding, and why cancellation stands alone as non-punitive
• How the 10-year lookback works for felony and securities-related misdemeanor convictions, and why non-securities misdemeanors never trigger action
• Why personal insolvency of an owner or officer is not enough to revoke a firm's registration under the insolvency ground: only firm-level insolvency counts
• The 90-day trap: when an explicitly disclosed final order starts the clock, when it doesn't, and why hidden or non-final orders leave the Administrator free to act later
• The exact differences between revocation (punitive, disciplinary) and cancellation (administrative cleanup for vanished or incapacitated registrants)
• The 30-day withdrawal waiting period and the one-year reach-back window that lets the Administrator revoke a cleanly withdrawn registration for willful violations
• The sole carve-out to the prior-notice-and-hearing rule: summary postponement or suspension pending a proceeding, and the 15-day hearing guarantee after the fact