Series 65 Quiz
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LAWS, REGULATIONS, AND GUIDELINES
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Federal vs. State Regulation scenario: A broker-dealer is a firm in the business of effecting securities transactions for others or its own account. An agent is an individual who represents a broker-dealer in selling or buying securities with clients. The SEC oversees federal broker-dealer registration; states oversee agent registration for activity with state residents. Which regulatory body oversees the registration of broker-dealers?
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