Series 66 Quiz
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LAWS, REGULATIONS, AND GUIDELINES
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A broker-dealer engages an individual as an independent contractor to contact prospective customers, describe the broker-dealer's services, and encourage the prospects to open accounts and purchase securities through the broker-dealer. The individual is compensated with a percentage of the commissions earned by the broker-dealer's registered agents who service the accounts the individual opens. The individual is not authorized to accept orders or negotiate terms, does not complete any transactions, and does not discuss specific securities with prospects.
Under the Uniform Securities Act, which of the following is correct regarding the individual?
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