Wrong Answers 3 Flashcards

You may prefer our related Brainscape-certified flashcards:
1
Q

An individual who is compensated by an issuer or a broker dealer to sell registered securities to the public is an

A

Agent

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
2
Q

If an individual acting on behalf of an issuer engages in the sake of securities issued by a savings institution organized and supervised under the laws of any state, which of the following statements is true?

A

The individual is not required to be registered

How well did you know this?
1
Not at all
2
3
4
5
Perfectly
3
Q

Under the Uniform Securities Act, requirements for registration may include which of the following?2

A

An announcement of the application for registration in one or more newspapers in the state

Minimum capital requirements for broker dealer who do not have custody of client securities or funds

How well did you know this?
1
Not at all
2
3
4
5
Perfectly