Which of the following is not a key role of an investment dealer?
A) market maker
B) underwriter
C) acting as transfer agent
D) agent in private placement

Question

Quizplus · Accepted Answer

Acting as a transfer agent is not a key role of an investment dealer. Transfer agents are typically appointed by companies to manage the registration and transfer of securities on behalf of their shareholders. This is a separate function from the activities of an investment dealer, which primarily involve facilitating the buying and selling of securities in the marketplace. The other choices, market maker, underwriter, and agent in private placement, are all key roles performed by investment dealers.

Which of the Following Is Not a Key Role of an Investment