Series 6 - Investment Company And Variable Contracts Products Representative Exam
Training Mode
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