Jack is employed by NewCorp, which is engaging in an initial public offering (IPO) . Jack will need to register as a sales representative if he:
A) engages in transactions with the underwriters of the IPO for the purpose of taking the firm public.
B) represents NewCorp in any transactions with financial institutions.
C) participates in the selling of the new stock to individual investors.
D) Jack will need to register as a sales representative if he performs any one of the above activities.
Correct Answer:
Verified
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