Câu 24: SERIES-63: Uniform Securities State Law Examination

Which of the following entities would be required to register with the state as a broker-dealer under the guidelines of the Uniform Securities Act (USA)?

1. A. an underwriter with no offices in the state that is helping a firm that is incorporated within the state with the sale of its new bond issue to insurance companies.
2. B. a credit union that operates within the state and provides loans to its members.
3. C. an agent who executes the purchase and sale of stocks and bonds for his clients.
4. D. None of the above entities would be required to register with the state as a broker-dealer under the guidelines of the Uniform Securities Act. — đáp án hiện tại