Laws & RegulationsCâu 5 / 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
Giải thích
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.
Trích dẫn luật: Uniform Securities ActLuyện miễn phí toàn bộ 100 câu hỏi — không cần đăng ký.
Câu hỏi liên quan cùng chủ đề
- An agent registered in State A takes an unsolicited order from a client who is vacationing in State B, where the agent is not registered. Which statement is most accurate?
- Which of the following is considered an exempt SECURITY under the Uniform Securities Act?
- An investment adviser representative learns material nonpublic information about a public company from a client who is a corporate insider. The IAR then buys the stock for personal gain. This conduct is best described as:
- Which of the following professionals would most likely qualify for the exclusion from the definition of investment adviser because advice is incidental to their practice and no special compensation is received?
- A federal covered investment adviser with clients in five states is generally subject to registration and oversight primarily by:
- An agent tells a customer, 'This stock is guaranteed to go up because the state Administrator approved the registration.' This statement is:
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