Wanna raise some Cain? Say that in public. Few “natural” persons, as the USA legalese and regulators define us human beings, appreciate being compared to a soulless entity that can’t dance, skydive, tell a joke or fall in love. But what in tarnation do corporate persons and natural persons have to do with the registration of broker-dealers, investment advisers, reps and agents? Plenty, it turns out. This section, which accounts for 24 of 60 questions on the exam (that’s 40% - so go get that 5...
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