Business, 22.09.2020 20:01 weridness80

A registered investment adviser and its representatives have been registered in a State for the past 5 years. The current registration manager of the adviser resigns in November and the firm retains an executive search firm to find a new registration manager. The position is filled in June of the following year and the new registration manager finds that registration renewals has not been filed. Which statement is TRUE? a. The registered investment adviser must re-register in the State, but not the investment adviser representatives
b. The investment adviser representatives must re-register in the State, but not the investment adviser
c. Both the investment adviser and the investment adviser representatives must re-register in the State
d. Neither the investment adviser nor the investment adviser representatives are required to re-register in the State

Answers: 3

Show answers

Another question on Business

Business, 22.06.2019 01:30

How will firms solve the problem of an economic surplus a. decrease prices to the market equilibrium price b. decrease prices so they are below the market equilibrium price c.increase prices

Answers: 3

Answer

Business, 22.06.2019 11:20

Aborrower takes out a 30-year adjustable rate mortgage loan for $200,000 with monthly payments. the first two years of the loan have a "teaser" rate of 4%, after that, the rate can reset with a 5% annual payment cap. on the reset date, the composite rate is 6%. what would the year 3 monthly payment be?

Answers: 3

Answer

Business, 22.06.2019 17:30

Which curve shows increasing opportunity cost as you give up more of one option? demand curve bow-shaped curve yield curve indifference curve

Answers: 3

Answer

Business, 22.06.2019 17:40

Because the demand for wheat tends to be inelastic. true or false

Answers: 1

Answer

You know the right answer?

A registered investment adviser and its representatives have been registered in a State for the past...