Exceptions for bd agents Study guides, Class notes & Summaries

Exceptions for BD Agents correct answers The only exceptions that apply to a person working for a BD effecting securities transactions is in reference to WHO they sell to: 1.) Non-Resident Customer (30 day) -RR can continue to service customer even if he is not registered as an agent in the state in which the customer is temporarily located. -Time frame is 30 days or less 2.) New Resident Customer (60 day) -RR is not considered an agent in customers new state for a period of 60...

Series 63 – (Went from Chapter 1 to Chapter 5 and made flash cards for around 90-95% of the material included in the Series 63 RegEd book/binder) You're welcome.