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Which of the Following Persons Falls Under the Definition of "Broker-Dealer

Question 57

Multiple Choice

Which of the following persons falls under the definition of "broker-dealer," as defined by the Uniform Securities Act (USA) ?


A) Marge is a loan officer at Treadwater Bank and Trust.
B) Juan is employed by TrustUs Corporation to sell shares of the firm's stock to the firm's employees and receives a commission on the shares he sells.
C) Michaela is employed by GetErDone broker-dealers and sells both exempt and non-exempt securities to GetErDone's clients.
D) MyTrades is a sole proprietorship owned by Nathan Newmoney, who has established the firm solely to make trades on his own account, thereby avoiding the commissions he would have to pay a middleman.

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