A licensed agent with a registered broker/dealer in a state would be permitted to engage in which of the following transactions in unregistered nonexempt securities?

A licensed agent with a registered broker/dealer in a state would be permitted to engage in which of the following transactions in unregistered nonexempt securities?


A) The sale of commercial paper with a 12-month maturity.

B) The sale of a preorganization certificate on which the agent receives no commission on the amount paid by the investor.

C) A private placement.

D) A solicited transaction in a small Canadian mining company.



Answer: A private placement.


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