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    Certification
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    American Bankers Association (ABA)
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    Exam 2: Certified Trust and Financial Advisor
  5. Question
    An Entity That Purchases and Sells Securities on Its Own
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An Entity That Purchases and Sells Securities on Its Own

Question 185

Question 185

Multiple Choice

An entity that purchases and sells securities on its own behalf is acting as:


A) A broker
B) A dealer
C) An agent
D) A principal

Correct Answer:

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