Series 6 - Investment Company And Variable Contracts Products Representative Exam
A broker includes all of the following EXCEPT:
A firm that charges a fee or commission for executing buy and sell orders for another individual or firm.A
Any person engaged in the business of effecting transactions in securities for the accounts of others that is not a bank.B
A brokerage firm when it acts as an agent for a customer and charges the customer a commission for its services.C
A brokerage firm when it acts as a principal in a particular trade.D
A dealer includes the role of a brokerage firm when it acts as a principal in a particular trade.