When applying for registration as an agent which of the following must be disclosed?Individuals whose function is strictly clerical do not register as agents. When applying for registration as an agent, which of the following must be disclosed? Certain financial information such as any unsatisfied judgments or liens against the applicant.
Which individuals are required to register with finra quizlet?Any planner or broker/dealer, or the representative of a broker/dealer that wishes to sell securities, must register with FINRA, a self-regulatory organization.
Which of the following are not included in the definition of an agent in the Uniform Securities Act?Under the Uniform Securities Act, he or she is: not defined as an agent under the Uniform Securities Act. Any individual selling securities on behalf of an issuer of an exempt security (bank securities are exempt) is not an agent under the USA.
Which of the following individuals are defined as an agent under the Uniform Securities Act?As used in sections 36b-2 to 36b-34, inclusive, unless the context otherwise requires: (1) “Agent” means any individual, other than a broker-dealer, who represents a broker-dealer or issuer in effecting or attempting to effect purchases or sales of securities.
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