Series 65: 8.10.4.1.1 Agents Representing Broker-Dealers

Taken from our Series 65 Online Guide

8.10.4.1.1 Agents Representing Broker-Dealers

Agents representing broker-dealers DO NOT have to register with a state if:

• They have no place of business in the state and their only clients are institutional investors.

• They are registered in State A and make a transaction for an existing client who is on vacation in State B..

• They work for a Canadian broker-dealer that qualifies for the Canadian broker-dealer exemption as previously described, and they only conduct the types of transactions permitted under that exemption.

• They work for a broker-dealer selling investments that are not securities, such as annuities, insurance, or commodities. Please note that non-securities are not the same as exempt securities and, as a result, will subject the agent

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