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Under the Uniform Securities Act, a person who has no place of business in a State, and who transacts securities business only with financial institutions in that State, is:

Under the Uniform Securities Act, a person who has no place of business in a State, and who transacts securities business only with financial institutions in that State, is:
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Under the Uniform Securities Act, a person who has no place of business in a State, and who transacts securities business only with financial institutions in that State, is:

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User Amazingjxq
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1 Answer

9 votes

Answer:

Excluded from definition of a broker-dealer and need not register

answered
User Tgpdyk
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