Free Version

Dashboard
Review Topics
Quizzes
Practice Exams
Flashcards
Vocabulary
We buffalo have an innate sense of direction, but you'll have to look up how to get to the testing center. There's no shame in Google Maps.

Agents

To Do List

Quizlet

Agents Quizlet

A BD is a natural person or a business entity, right? Hai! An agent is the stockbroker that transacts your trade in WTF Inc. She’s licensed, she’s taken the 63, she’s paid her fees and wallowed in paperwork. She’s been through it, ya know. 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 USA brains and ask (because thi...

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

$63.63
Next: Honey, You Must Register
Prev: You Don’t Gotta Register!

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