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An investment dealer has just become the broker of record for a large corporation. What advantage does this new relationship give to the dealer? A)
An investment dealer has just become the broker of record for a large corporation. What advantage does this new relationship give to the dealer?
A) The dealer avoids any liability when selling the new share issue
B) The dealer has the right of first refusal on new financings planned by the corporation
C) The dealer can request escrowed shares as compensation for services
D) The dealer does not need to file a preliminary prospectus
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