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Business, 04.05.2021 03:20 jjjjjjjbvhnchjkj

An agent made written disclosure to his employing broker-dealer that he intends to execute a series of private securities transactions with clients who do not have accounts with his broker-dealer. The agent did not acquire express written permission from the broker-dealer and did not receive compensation for executing the transactions, but did receive written acknowledgment of receipt of the agent's notice. In this case, the agent A) is required to register as a broker-dealer B) performed a matched trade as permitted under the rules C) is guilty of selling away D) engaged in an agency cross transaction

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An agent made written disclosure to his employing broker-dealer that he intends to execute a series...
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