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

Question

saul85 [17]

3 years ago

5

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

t such broker-dealers to:

Law

1 answer:

Tanzania [10] · Answer 1 · 2022-02-13T04:43:58+03:00

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.