Under the Uniform Securities Act, a person who has no place of business in a State, and who transacts securities business only with financial institutions in that State, is:

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asked Jun 26, 2023 97.9k views

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Under the Uniform Securities Act, a person who has no place of business in a State, and who transacts securities business only with financial institutions in that State, is:

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Amazingjxq asked

by Amazingjxq

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Answer:

Excluded from definition of a broker-dealer and need not register

Tgpdyk answered Jun 30, 2023

by Tgpdyk

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