In order to make an offer of a non-exempt security, an agent of a broker-dealer:______

Social Studies

1 answer:

dusya [7]2 years ago

5 0

Answer:

Agents of broker-dealers must register in the State where they are physically located; and also must register in each State in which they make offers of securities. Also note that the fact that the security involved is non-exempt (such as common stock) has no bearing. To offer any security in a State, whether exempt or non-exempt, the agent must be registered in the State.

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