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Which statements are TRUE regarding the post-registration requirements of the Uniform Securities Act?
I Broker-dealers are subject to post-registration requirements
II Broker-dealers are not subject to post-registration requirements
III Agents of broker-dealers are subject to post-registration requirements
IV Agents of broker-dealers are not subject to post-registration requirements

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Avardian

Regarding the post-registration requirements of the Uniform Securities Act, the following statements are valid:

  • Broker-dealers are subject to post-registration requirements. (I)
  • Agents of broker-dealers are not subject to post-registration requirements. (IV)

Broker-dealers are financial organizations that trade securities on their clients' behalf, but they can also trade on their own behalf. Broker-dealers serve as brokers or agents when they execute transactions on behalf of their clients; yet, they are dealers or principals when they execute transactions on their own behalf. Post-registration requirements apply to brokers and dealers. Meanwhile, broker-dealer agents are exempt from post-registration requirements as stated in the 2011 Kansas Code, Chapter 17, Corporations, Article 12a.

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