Series 66 Quiz
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LAWS, REGULATIONS, AND GUIDELINES
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An agent of a state-registered broker-dealer sells a customer a municipal bond issued by a local housing authority. The bond is exempt from registration as a municipal security. During the sales presentation, the agent makes materially false statements about the bond's yield and the authority's financial condition. The customer later complains to the Administrator.
Under the Uniform Securities Act, which statement is correct?
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