Laws & Regulations第 5 / 100 题
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
解析
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.
法律依据: Uniform Securities Act免费刷完整 100 道题库 — 无需注册。
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