Câu 87: SERIES-6: Investment Company and Variable Contracts Products Representative Qualification Examination (IR)
Which of the following persons is not subject to the fingerprinting requirements of the Securities Exchange Act of 1934?I. a registered transfer agent of a securities exchangeII. a firm that engages only in the sale of mutual fund sharesIII. a receptionist at a brokerage firm who answers phones and directs calls to th…
Nội dung câu hỏi
Which of the following persons is not subject to the fingerprinting requirements of the Securities Exchange Act of 1934?I. a registered transfer agent of a securities exchangeII. a firm that engages only in the sale of mutual fund sharesIII. a receptionist at a brokerage firm who answers phones and directs calls to the agents employed by the firmIV. a market maker in the over-the-counter market
Các lựa chọn
Đáp án được giữ gọn theo nhãn A, B, C, D trong phần bình chọn tương tác.
- A. I and III only
- B. II and III only — đáp án hiện tại
- C. II, III, and IV only
- D. III only
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