Business, 11.11.2019 21:31 oliviasoreo92
The brother-in-law of an agent of a broker-dealer has asked the agent if he will be willing to offer his clients shares of a private placement in a brand new company the brother-in-law is starting. the agent would earn substantial commissions from the sale of the shares. under nasaa regulations, which of the following would be required by the broker-dealer and/or agent?
[a] the broker-dealer must establish a separate business entity to handle these transactions of the agent.[b] the agent is required to get written authorization of their broker-dealer prior to executing any transactions in the private placement.[c] the broker-dealer and agent must inform clients that the broker-dealer will assume no responsibility for the transactions in the private placement.[d] the agent of the broker-dealer is never allowed to participate in such transactions.
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The brother-in-law of an agent of a broker-dealer has asked the agent if he will be willing to offer...
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