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11.11.2019 •
Business
The brother-in-law of an agent of a broker-dealer has asked the agent if he will be willing to offer his clients shares of a private placement in a brand new company the brother-in-law is starting. the agent would earn substantial commissions from the sale of the shares. under nasaa regulations, which of the following would be required by the broker-dealer and/or agent?
[a] the broker-dealer must establish a separate business entity to handle these transactions of the agent.[b] the agent is required to get written authorization of their broker-dealer prior to executing any transactions in the private placement.[c] the broker-dealer and agent must inform clients that the broker-dealer will assume no responsibility for the transactions in the private placement.[d] the agent of the broker-dealer is never allowed to participate in such transactions.
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Ответ:
First we need to find out the total commission which is 6.5%
0.065*185000=12025
Out of this the listing broker will get 50%
0.5*12025= 6012.5
Out of this the agent will get 65 percent of that
0.65*6012.5=3908.125 is the amount that the listing agent will receive from his broker.
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Ответ:
-18 i know your in 7th grade just did question yesterday
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