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An agent is selling a new issue of a non-exempt security to a customer. In order to make it easier for the customer to understand the risks of the investment, the agent highlights the "Important Risk Factors"
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An agent is selling a new issue of a non-exempt security to a customer. In order to make it easier for the customer to understand the risks of the investment, the agent highlights the "Important Risk Factors" section of the prospectus before giving it to the customer. Which statement is TRUE about this action

User Aymen
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Answer: b. This action is a violation of the Uniform Securities Act

Step-by-step explanation:

Most terms people carry out in doing business is a breach on the policies of the other party and which is not healthy for the business society, clients should get to understand when they are crossing the line in carrying out task and do the right thing, violations can lead to law enforcement which would not be pleasurable for the party involved.

User Trexion Kameha
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