Business, 29.11.2020 15:10 kefernanda40
Acme Securities Inc. is registered as a broker-dealer in the State of Utah under the Uniform Securities Act. Acme wishes to begin charging customers a fee for managing accounts on a discretionary basis. Which statement is TRUE?
A. Acme Securities Inc. is prohibited from charging fees for managing customer accounts under the Uniform Securities Act
B. Acme Securities Inc. may charge a management fee as long as it does not discriminate among customers that have discretionary accounts and the charges are fair and reasonable
C. Acme Securities Inc. may charge a management fee if it registers in the State as an investment adviser and the charges are fair and reasonable
D. Acme Securities Inc. may charge a management fee in its legal capacity as a registered broker-dealer in the State as long as it remains in compliance with the provisions of the Uniform Securities Act
Answers: 3
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