Question

Under the Uniform Securities Act, the limited registration provision available to Canadian broker-dealers and their agents permit such broker-dealers to:

Answer 1

Answer and Explanation:

Under the Uniform Securities Act, the limited registration provision available to Canadian broker-dealers and their agents permit such broker-dealers to conduct businesses with interested people who reside in Canada; in addition, broker-dealers can also conduct businesses with Canadians who plan to reside in the state on a temporary basis, and whom they were already familiar with, prior to the time they came to the United States.