Registration第 27 / 100 题
An individual employed by a registered broker-dealer answers the main telephone line, routes calls to registered personnel, and files paperwork. He never discusses securities or accepts orders. This individual:
a.Must register as an agent because he is employed by a broker-dealer
b.Must register as an agent because he speaks with customers
c.Need not register, because his functions are clerical and he does not effect or attempt to effect securities transactions
d.Must register as an investment adviser representative
解析
Registration as an agent turns on whether the individual effects or attempts to effect purchases or sales of securities, not on mere employment at a firm. Purely clerical and ministerial staff fall outside the definition. If he began taking orders or making recommendations, registration would immediately be required.
法律依据: Uniform Securities Act免费刷完整 100 道题库 — 无需注册。
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