Respuesta :
The agent under the terms of the uniform securities act is I and II.
What is agent?
Agent under the terms of the uniform securities act in sections 36b-2 to 36b-34 is "any individual, other than a broker-dealer, who represents a broker-dealer or issuer in effecting or attempting to effect purchases or sales of securities."
For the first statement, a sales that representative of a broker-dealer is a agent in terms of uniform securities act.
For the second statement, a assistant to the president of a broker-dealer is a administrative person if he/she take order individually from a public is considered as an agent, because he/she considered not part of broker-dealer.
For the third statement, is not agent because is registered as broker-dealer.
For the fourth statement, is not agent because is registered as issuer.
Your question is incomplete, but most probably your full question was
Which of the following would be an agent under the terms of the Uniform Securities Act?
I. A sales representative of a licensed broker-dealer who sells secondary securities to the general public
II. An assistant to the president of a broker-dealer who, for administrative purposes, accepts orders on behalf of senior partners
III. A subsidiary of a major commercial bank registered as a broker-dealer that sells securities to the public
IV. An issuer of nonexempt securities that are registered in the state and sold to the general public
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