the Uniform Securities Act, the registration
of an investment adviser results in automatic
registration of any investment adviser representative
who is a:
a) Solicitor of the investment adviser
b) Partner of the investment adviser
c) Sales representative of the investment adviser
d) Administrative employee of the investment adviser
Clerical employees do not need to be registered as investment adviser representatives, while solicitors, sales representatives and other employees who give investment advice must so register. However, any directors, partners or officers named in the investment adviser’s registration application are automatically registered as investment adviser representatives.
The correct answer is b) Insider trading would include information that is material and non-public. Certainly, a poor earnings ...
The correct answer is a. I should be the the other way around: convertible bond holders can exchange their bonds for shares. ...
The correct answer is c): The operating margin is a very useful test of the efficiency of corporate management. Operating ...
Free info on financial certification exams including study guides, exam questions, and much more!
A examination to ensure a candidate is qualified to become a ...
A person who prepares investigative reports on equity securities. ...
An exam required for individuals seeking to engage in off-exchange ...
One who provides financial advice or guidance to customers for ...
An exam offered by the Financial Industry Regulatory Authority ...
An exam given by the Financial Industry Regulatory Authority ...