an agent of a broker-dealer wishes to create a website to solicit securities business from customers. based on each customer's reponses to questions asked, appropriate investment recommendations will be made. which statement are true?

Question

Averie Andrews

Mathematics

8 January, 16:08

an agent of a broker-dealer wishes to create a website to solicit securities business from customers. based on each customer's reponses to questions asked, appropriate investment recommendations will be made. which statement are true?

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Answers (1)

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Barnett · Answer 1

The following statements are true:

The broker-dealer must review and approve the content of the website The broker-dealer must be registered in each State where a customer responds to the website The agent must be registered in each State where a customer responds to the website

Step-by-step explanation:

An agent of a broker-dealer wishes to create a website to solicit securities business from customers based on each customer's response to questions asked, appropriate investment recommendation will be made. The statement which is not true under the given conditions is: "The Administrator must review and approve the content of the website." because the broker-dealer has to approve the content of the website. These recommendations which are discussed above are for the benefit and will ensure the safety and prevent the damage.