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Business, 20.04.2020 20:09 QueenNerdy889

A registered securities agent solicits a customer to buy mutual fund shares. The customer buys 200 shares, sending a check made out to the fund's custodian bank to the agent. The agent does not record the trade on the books of the broker-dealer.

Under the Uniform Securities Act, this action is:

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A registered securities agent solicits a customer to buy mutual fund shares. The customer buys 200 s...
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