Solution:
Agency transaction: In this type of transaction the broker acts as an agent and connects buyers and sellers together and takes commission for the same.
Option A , B and C are examples of principal transaction as there is no intermediary and selling is happening to principal entity.
Option D is correct as the investment dealer acts as an agent, takes commission and facilitates the sale.
8. Which is an example of an agency transaction? a) An investment dealer sells shares it...
MULTIPLE CHOICE 1) Which of the following is NOT an investment as defined in the text? A) a certificate of deposit issued by a bank B) a new automobile C) a United States Saving Bond D) a mutual fund held in a retirement account 2) Which of the following is NOT traded in the securities markets? A) stocks B) bonds C) derivatives D) real estate 3) The governmental agency that oversees the capital markets is the A) Federal Trade Commission....
Please read the article and answer about questions. You and the Law Business and law are inseparable. For B-Money, the two predictably merged when he was negotiat- ing a deal for his tracks. At other times, the merger is unpredictable, like when your business faces an unexpected auto accident, product recall, or government regulation change. In either type of situation, when business owners know the law, they can better protect themselves and sometimes even avoid the problems completely. This chapter...
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