Free Version

Review Topics
Practice Exams
I know there might be distractions in the testing facility (hellooooo bison cows), but try to keep your eyes on the prize.


To Do List


Agents Drill

An agent is the stockbroker that transacts your trade in Donuts, Inc. She's licensed, she's taken the 63, she's paid her fees, and she wallowed in paperwork. She's been through it, trust us. The USA says of an agent:

"Agent" means any individual other than a broker-dealer who represents a broker-dealer or issuer in effecting or attempting to effect purchases or sales of securities.

So let's cue up our U.S. brains and ask (because this is how the U.S. looks at the world), how is an agent...

Looking for more? Why is this annoying box in the way? It's because you haven't paid for the course yet!

Next: Non-Agents
Prev: Who Doesn't Need to Register

*Securities is a registered trademark of the College Board, which was not involved in the production of, and does not endorse this product.