Laws & RegulationsPregunta 5 de 100
Under the Uniform Securities Act, which person would MOST likely need to register as an agent?
a.An officer of an issuer who sells exempt securities and receives no commission
b.An individual employed by a broker-dealer to solicit securities transactions from the public for compensation
c.A clerk who only processes trade confirmations
d.An administrative assistant who schedules client meetings
Explicación
An agent is an individual who represents a broker-dealer or issuer in effecting securities transactions. The person soliciting transactions from the public for a broker-dealer meets the definition. Clerical and ministerial employees who do not solicit or effect trades are generally excluded.
Referencia Legal: Uniform Securities ActPractica las 100 preguntas gratis — sin registro.
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