Câu 59: SERIES-63: Uniform Securities State Law Examination

Which of the following persons falls under the definition of "broker-dealer," as defined by the Uniform Securities Act (USA)?

1. A. Marge is a loan officer at Treadwater Bank and Trust.
2. B. Juan is employed by TrustUs Corporation to sell shares of the firm's stock to the firm's employees and receives a commission on the shares he sells.
3. C. Michaela is employed by GetErDone broker-dealers and sells both exempt and non-exempt securities to GetErDone's clients.
4. D. MyTrades is a sole proprietorship owned by Nathan Newmoney, who has established the firm solely to make trades on his own account, thereby avoiding the commissions he would have to pay a middleman. — đáp án hiện tại