Business, 10.03.2020 00:59 CarlosParker99

A broker/dealer has agents who work with individual investors in California. The broker/dealer and all of the agents are located in Arizona. Which of the following registrations are required in this scenario?

Because the broker/dealer is not located in California, it does not need to register in California.
Because the broker/dealer does business with individuals in California, it must be registered in California.
Because the agents are not located in California, the agents do not need to register in California.
Because the agents do business with individuals in California, the agents must be registered in California.

[A] I and III only
[B] I and IV only
[C] II and III only
[D] II and IV only

Answers: 1

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A broker/dealer has agents who work with individual investors in California. The broker/dealer and a...

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