Answer:
A. this is an existing customer who resides in State A but is temporarily vacationing in State B
Incorrect Answer B. the customer is the issuer of the securities involved in the transaction
C. this is an isolated transaction
Correct Answer D. the customer is an accredited investor
A broker-dealer registered in States A and B has an agent that is registered in State A. The agent takes an unsolicited order from a customer in State B. The agent will have to register in state B if
the customer is an accredited investor