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Don't go to your exam hungry. I recommend grass and berries, but you might want your brain food to be a little more substantial.

Meet Agent Broker-Dealer And Representative Investment Advisor Quizlet

  • 1.

    Joe the Broker’s has just hired Gertrude, a perky new assistant to help with the daily chores of working as an agent of a broker-dealer. Gertrude is not registered. Which of the following duties is she NOT allowed to perform?

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