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Ari Gaunt is employed by a small state-registered broker-dealer and has recently received notification that...

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Ari Gaunt is employed by a small state-registered broker-dealer and has recently received notification that his application to be a registered agent of the state has been accepted. Now that he is licensed to execute transactions for the firm’s clients, Ari has a batch of business cards printed up, with a picture of himself on the right-hand side of the card. Underneath the picture is the caption, “State-Approved Agent.”

Will Ari be violating any securities laws if he distributes these business cards?

A.

No. However, he may be violating company policy of the broker-dealer he works for by designing his own cards.

B.

No. His registration with the Administrator of the state has been accepted, so he is entitled to call himself a “State-Approved Agent.”

C.

Yes. Agents are not permitted to include a picture of themselves on their business cards.

D.

Yes. It is a violation of a securities law to suggest that he has been approved by the state Administrator.

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