An individual who represents a broker-dealer in the buying and selling of securities is called a(n):
Which of the following statements best explains the difference between an agent and a broker-dealer?
Rich Writewell wants to begin publishing an independent weekly financial newsletter that will provide investment recommendations as well as other financial news items to the general public. Rich hopes that his newsletter will achieve nationwide circulation within a few months.Which of the following statements is true?
Erin is a registered agent who works for SecureMoney Brokers-dealers. One of her clients, Mrs. McTurk, is a recently-widowed woman who relies on Erin for advice about her investment portfolio. Mrs. McTurk reminds Erin of her own grandmother, and she is happy to provide guidance within the sphere of her own knowledge.Based on these facts, which of the following statements is true?
Which of the following would not fall under the classification of "institutional investor"?
Blue Sky Laws are designed to:
