subject
Business, 17.07.2020 21:01 es17118

Under the Investment Advisers Act of 1940, which of the following statements are TRUE regarding the investment adviser's relationship with a broker-dealer? I The investment adviser must disclose if it recommends the use of a specific broker-dealer to effect recommended trades
II The investment adviser doesn't have to disclose if it recommends the use of a specific broker-dealer to effect recommended trades
III The customer must effect trades through the broker-dealer of the investment adviser's choosing
IV The customer doesn't have to effect trades through the broker-dealer of the investment adviser's choosing

a. I and III
b. I and IV
c. II and III
d. II and IV

ansver
Answers: 1

Another question on Business

question
Business, 22.06.2019 18:30
Which of these is an example of innovation?
Answers: 2
question
Business, 22.06.2019 18:30
Jason started last week with $900 in his checking account. during the week, he wrote the checks below. at the end of the week, jason received a paycheck for $534.59. he recorded all of these transactions in his check register. trans typ./ check no. date description of transaction payment/ debit deposit/ credit (+) balance 900 00 241 12/4 miller's food market 53.21 53 21 groceries 846 79 242 12/7 frank's auto parts 24.05 24 05 oil and filter 822 74 243 12/8 mike's barber shop 15.00 15 00 haircut 807 74 deposit 12/9 paycheck 534.59 534 59 1,342 33 evaluate jason's check register. a. jason did a good job; everything is correct. b. the final balance is wrong; jason did not add everything correctly. c. jason should have written debit instead of deposit for the transaction type. d. jason entered the amount for his paycheck in the wrong column.
Answers: 3
question
Business, 23.06.2019 01:50
The de mesa family will soon be occupying their newly renovated house. however, the bathroom measuring 10ft. by 16 ft. still needs to be covered by tiles. if the tile that they desire measures 2/5 ft by 2/5 ft., how many tiles will they need to cover the bathroom floor?
Answers: 3
question
Business, 23.06.2019 02:30
How is the role of government determined in the american free enterprise system?
Answers: 2
You know the right answer?
Under the Investment Advisers Act of 1940, which of the following statements are TRUE regarding the...
Questions
question
Mathematics, 14.10.2019 07:10
Questions on the website: 13722361