Business, 29.02.2020 00:23 henryisasum7846

Gloria McPuck is an agent/stockbroker for her broker-dealer, Maple Leaf Securities, a Canadian Broker-Dealer. A long time friend and sorority sister, Mary Applepie, lives in Detroit, Michigan. Gloria and her broker-dealer are properly registered in Canada and have limited registrations in Michigan. Maple Leaf Securities does not have an office in Michigan. Gloria is prospecting for new customers and calls Mary in Michigan to offer her services and to tell her about an exciting investment opportunity. Which of the following statements about Glorias' activities are true?

[A] Her activities are proper and do not violate the law.
[B] Her activities are improper and violate the law.
[C] Her activities are improper but no not violate the law if Mary does not object.
[D] Her activities are proper because Mary is a long time friend.

Answers: 2

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Gloria McPuck is an agent/stockbroker for her broker-dealer, Maple Leaf Securities, a Canadian Broke...