oleblue1140 oleblue1140

16-04-2024
Business

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Which TWO of the following statements are TRUE regarding a broker-dealer acting as a dealer/market maker?
a. The broker-dealer buys for or sells from its own inventory.
b. The broker-dealer earns commissions for executing transactions.
c. The broker-dealer is acting as a principal.
d. The broker-dealer is acting in an agency capacity.

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