Business, 28.12.2019 00:31 meramera50

Abroker-dealer is physically located and registered in state a. the broker-dealer has an existing client in state a who is a student finishing undergraduate studies. the client has just been accepted to medical school in state b. which statement is true about the broker-dealer contacting the client while she is in medical school in state b?

a. the broker-dealer can contact the client while she is in medical school in state b without having to register in state b using the "existing customer" exemption
b. the broker-dealer can contact the client while she is in medical school in state b without having to register in state b because the client is attending a not-for-profit educational institution
c. the broker-dealer can contact the client while she is in medical school in state b without having to register in state b because of the reciprocity agreements that all states maintain regarding registration requirements
d. the broker-dealer must be registered in state b in order to contact the client while she is in medical school in state b

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Abroker-dealer is physically located and registered in state a. the broker-dealer has an existing cl...

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