Câu 32: SERIES-63: Uniform Securities State Law Examination

Which of the following would fall under the definition of "agent," as defined by the Uniform Securities Act (USA)?

1. A. Joe works as an administrative assistant for broker-dealer GetErDone, doing data entry, filing client forms that contain confidential information, and directing calls to registered representatives of the firm.
2. B. Freedom broker-dealers executes the purchase and sale of securities for its customers.
3. C. TrustUs Bank has a subsidiary operation that sells mutual funds to the public.
4. D. None of the above would fall under the definition of "agent," as defined by the Uniform Securities Act (USA.) — đáp án hiện tại