Laws & Regulations第 107 / 110 题
Under the Uniform Securities Act, an individual who represents a broker-dealer in effecting securities transactions is defined as which of the following, and must generally register?
a.An agent
b.An issuer
c.An investment adviser representative acting for a bank
d.A federal covered adviser
解析
An individual who represents a broker-dealer in effecting or attempting to effect purchases or sales of securities is an agent under the Uniform Securities Act and generally must register in the states where they conduct business. Certain representatives of issuers in exempt transactions may be excluded. Agents are distinct from investment adviser representatives, who give advice rather than execute trades.
法律依据: Uniform Securities Act免费刷完整 110 道题库 — 无需注册。
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