Series 65: 8.10. Regulation Of Agents Of Broker-Dealers And Agents Of Issuers

Taken from our Series 65 Online Guide

8.10. Regulation of Agents of Broker-Dealers and Agents of Issuers

An agent’s relationship to a broker-dealer or issuer of securities is nearly identical to the relationship that an IAR has to the investment advisory firm that employs him. Remember that the broker-dealer or investment adviser is generally a firm; the agent or investment adviser representative is the individua

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