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Business, 07.01.2020 23:31 kathrynsalomon

The term agent, according to the uniform securities act, would include all of the following people except

[a] one who effects transactions of registered securities with clients who are members of the public.
[b] one who works for a broker-dealer involved in selling securities that have been listed on a securities exchange.
[c] one who represents a broker-dealer and performs securities transactions where no transaction-based fees are charged or paid.
[d] one who represents an issuing body in effecting transactions that are exempt.

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