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Which of the following individuals is defined as an "agent" under the Uniform Securities Act? I An individual who represents a broker-dealer selling exempt securities to the public II An individual who represents a broker-dealer selling securities listed on a national stock exchange III An individual who represents an issuer in an exempt transaction IV An individual who represents an issuer in a transaction with existing employees without accepting a commission A I and II only B III and IV only C I, II, IV D I, II, III, IV

asked
User Seansand
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1 Answer

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Answer:

I think it would be the first one to be honest

answered
User Pranav MS
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