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Which of the following would fall under the definition of “agent,” as defined by the...

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Which of the following would fall under the definition of “agent,” as defined by the Uniform Securities Act (USA)?

A.

Joe works as an administrative assistant for broker-dealer GetErDone, doing data entry, filing client forms that contain confidential information, and directing calls to registered representatives of the firm.

B.

Freedom broker-dealers executes the purchase and sale of securities for its customers.

C.

TrustUs Bank has a subsidiary operation that sells mutual funds to the public.

D.

None of the above would fall under the definition of “agent,” as defined by the Uniform Securities Act (USA.)

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