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All of the following would be defined as exempt transactions EXCEPT :________ A) ABC Securities, a registered broker-dealer functioning as an underwriter, purchases securities from XYZ corporation B) Joe
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All of the following would be defined as exempt transactions EXCEPT :________

A) ABC Securities, a registered broker-dealer functioning as an underwriter, purchases securities from XYZ corporation
B) Joe Smith, an employee in the consumer lending department of Amalgamated National Bank, buys securities from ABC Securities, a broker-dealer registered in the state

User Matthewtole
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9 votes

Answer:

I don't even know maybe A

User DylanYoung
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