evelynalfred4063 evelynalfred4063

04-01-2024
Business

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Inga wants to become a dually-licensed dealing representative with Four-Star Investments Inc., an exempt market dealer (EMD), and Four-Star Mutuals Inc., a mutual fund dealer (MFD). Inga wants to conduct business with clients in Alberta and Ontario, in both private offerings and mutual funds. Which of the following CORRECTLY describes how Four-Star Investments Inc., Four-Star Mutuals Inc., and Inga must be registered?
1) Four-Star Investments Inc. must be registered as an EMD, Four-Star Mutuals Inc. must be registered as an MFD, and Inga must be registered as a dealing representative with both EMD and MFD licenses.
2) Four-Star Investments Inc. must be registered as an EMD, Four-Star Mutuals Inc. must be registered as an MFD, and Inga must be registered as a dealing representative with either an EMD or MFD license.
3) Four-Star Investments Inc. must be registered as an EMD, Four-Star Mutuals Inc. must be registered as an MFD, and Inga must be registered as a dealing representative with an EMD license only.
4) Four-Star Investments Inc. must be registered as an EMD, Four-Star Mutuals Inc. must be registered as an MFD, and Inga must be registered as a dealing representative with an MFD license only.

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