Series 65: 8.10.1. Definition Of Agent

8.10.1. Definition of Agent

For the sake of being thorough, you should know how the Uniform Securities Act defines an agent, word-for-word. An agent is:

any individual other than a broker-dealer who represents a broker-dealer or issuer in effecting or attempting to effect purchases or sales of securities.

One interesting point to note in the Uniform Securities Act’s definition of an agent is that people are considered agents if they even attempt to effect transactions. In other words, an