Question

"A broker-dealer is registered in New York and Florida. A client that lives in New York is going to retire to Florida. Her agent, who is located and registered in New York, wishes to keep servicing her account. In order to do so, the agent:"

Answer 1

I, II, III, IV

If the agent wishes to sell to a customer in a neighboring State, both the broker-dealer and agent must be registered in that State, as well as in their "home" State unless an exemption is available.

Step-by-step explanation:

Sorry if it's not right