Business > STUDY GUIDE > IACCP Examination Study Guide | 100 Questions | 100% Correct Answers (All)

Also available in bundle ( Click Here )

IACCP Examination Study Guide | 100 Questions | 100% Correct Answers

Document Content and Description Below

"Investment Adviser" person/firm compensated for engaging in business of (directly or indirectly) advising others on securities or the advisability of investing (or) who issues analysis/reports conc ... erning securities - ✔✔SEC vs Capital Gains Research Bureau basis of Fiduciary Rule, specifically Best Interest SEC Registration Required when 1) definition of "IA" is met (unless otherwise excepted from definition or exempt/prohibited from registration); AND $100M in AUM (optional for Mid-Sized Advisers AUM $100-115M Buffer Zone) - OR - 2) when ADVISING a Registered Investment Company - OR - 3) AUM $25-100M AND NOT registered/required to register with State OR NOT Subject to EXAMS by State Registration withdraw required for AUM under $90M - ✔✔SEC Registration Optional when 1) AUM $25-100M (except NY req. at $25M) - OR - 2) Advisers Registered in 15 or more States (AUM $25M or less PROHIBITED from registering w/ SEC but held to various state requirements) EXCLUDED from Definition of "IA" are: [Show More]

Last updated: 3 years ago

Preview 1 out of 15 pages

Buy Now

Instant download

We Accept: