An agent of a broker-dealer is registered in State A. The agent has a customer who lives in State A who will be going to college in State B. The agent is not registered in State B. Which statement is TRUE about the agent doing business with the student while he or she is in State B?
-The agent cannot do business with the student in State B unless the agent registers in that State
-The agent can do business with the student in State B without having to register in State B
-The agent can only accept unsolicited transactions from the student in State B if the agent is not registered in State B
-The agent can only perform up to 5 transactions a year for the student without having to register in State B
Answers: 1
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Lucy is catering an important luncheon and wants to make sure her bisque has the perfect consistency. for her bisque to turn out right, it should have the consistency of a. cold heavy cream. b. warm milk. c. foie gras. d. thick oatmeal.
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He interest rate effect is the change in real gdp caused by the federal reserve adjusting target interest rates. is the change in consumer and investment spending due to changes in interest rates resulting from changes in the aggregate price level. is the change in exports and imports, resulting from changes in the interest rate caused by changes in the aggregate price level. is the change in investment spending and government purchases caused by changes in money demand. is the change in interest rates, caused by changes to government purchases.
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An agent of a broker-dealer is registered in State A. The agent has a customer who lives in State A...
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