Series 63: 2.3 Agents Of Broker-Dealers And Agents Of Issuers

Taken from our Series 63 Online Guide

2.3 Agents of Broker-Dealers and Agents of Issuers

An agent’s relationship to a broker-dealer or issuer of securities is nearly identical to the relationship that an IAR has to the investment advisory firm that employs him. Remember that the broker-dealer or investment adviser is generally a firm; the agent or investment adviser representative is an individual who represents the firm. For the agent this means that he

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