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Wear layers in case it gets chilly (or toasty) in the testing center. I only get to take off my coat once a year.

Agents

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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...

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