Câu 60: SERIES-63: Uniform Securities State Law Examination

Which of the following persons would not be required to register with the state as an agent under the guidelines of the Uniform Securities Act (USA)?

1. A. Keith is a salaried employee of Middlesex County in Massachusetts who sells revenue bonds issued by the county to the public. — đáp án hiện tại
2. B. John 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. Stefan is a sales representative for SecureMoney Broker-Dealers and sells only mutual fund shares.
4. D. Preetham is part-owner of SecureMoney Broker-Dealers and executes the purchase and sale of securities for the firm's customers.