1answer.
Ask question
Login Signup
Ask question
All categories
  • English
  • Mathematics
  • Social Studies
  • Business
  • History
  • Health
  • Geography
  • Biology
  • Physics
  • Chemistry
  • Computers and Technology
  • Arts
  • World Languages
  • Spanish
  • French
  • German
  • Advanced Placement (AP)
  • SAT
  • Medicine
  • Law
  • Engineering
Elden [556K]
2 years ago
7

A CFP professional is a Registered Investment Advisor managing 120 million in assets. One of his clients sends a complain letter

to the CFP professional, complaining that some trades were not executed properly. During the investigation, it is discovered that the client never received the firms form ADV. Which governing body has the ultimate authority over lack of regulatory disclosure for this matter
Business
1 answer:
irinina [24]2 years ago
4 0

SEC reviews the information and have the authority of regulatory disclosure for the ADV.

<h3>What is SEC and how it works?</h3>

SEC is a Securities and Exchange Commission in United States who regulates the nation's securities industries.

The basic functions of the SEC is to protect the investors, capital formation and maintain the fairness in the market.

SEC is the governing body which has the authority in the case of ADV form.

Learn more about the ADV form here:-

brainly.com/question/14326387

#SPJ1

You might be interested in
The likelihood that a decision maker will ever receive a payoff precisely equal to the EMV when making any one decision is: a. L
djyliett [7]

Answer: low (near 0%)

Explanation:

The expected monetary value(EMV) simply refers to the amount of money that an economic agent can expect to make based on a particular decision that's made.

It should be noted that the likelihood that a decision maker will be able to receive a payoff that is exactly as thesame as the EMV when a decision is being made will be near to zero as it's very low that it'll happen.

4 0
3 years ago
When an investor purchases Class A shares of a mutual fund in their brokerage account at a FINRA member firm, the sales charge i
Viktor [21]

When an investor purchases Class A shares of a mutual fund in their brokerage account at a FINRA member firm, the sales charge is apportioned to all of the following except The mutual fund.

<h3>What does it mean to be a member of FINRA?</h3>

The Financial Industry Regulatory Authority (FINRA) is an independent, nongovernmental organization that writes and enforces the rules governing registered brokers and broker-dealer firms in the United States.

A member is a registered investment firm or a brokerage or a dealership. Generally, an associated person is registered under the company rules and holds an important position at a company making investment decisions.

To learn more about FINRA visit the link

brainly.com/question/13678897

#SPJ4

8 0
2 years ago
Which of these activities will most likely impose an external cost? a. Betty plants flowers in her garden. b. Bonnie gets a flu
Firdavs [7]

Answer: C. Bridget drives her car after having too much alcohol to drink.

Explanation:

The external cost, also known as third party cost, is all negative cost that a third party receives for a good buying for us, that is, the negative effect that will happen for something that we consume. For example, when we buy a vehicle, the external cost is the emission of gases that are harmful to the environment.

In this case, the external cost is the danger to drivers and pedestrians because Bridget bought alcohol and then drove.

<em>I hope this information can help you.</em>

5 0
3 years ago
Spicy Dish, a large distributor of canned beans and salsa, is organized into four business units: (1) North America Salsa, (2) N
tatyana61 [14]

The options in this question are missing; here is the missing section:

What two types of departmentalization are illustrated in this example?

A. Product and customer

B. Product and geographical

C. Customer and geographical

D. Functional and customer

E. Geographical and functional

The answer to this question is B. Product and geographical

Explanation:

Departmentalization refers to the creation of departments, units, etc. in businesses to better achieve goals and distribute roles and activities. This can be based on location, products, function, etc.

In the case of Spicy Dish, there is a clear geographical departmentalization because this distributor has created units based on location, due to this, the company has a unit in each major geographical region such as North America, Europe, etc. Moreover, this company has created units based on products because in North America they created two different units and each specializes in one of their products (beans/salsa.)

3 0
4 years ago
"paypal is an example of what type of payment system
Vera_Pavlovna [14]
PayPal is an online stored value payment system. Hope this helps.
6 0
3 years ago
Other questions:
  • Donald discovers major flaws in the packaging department. He consults the production manager and formulates control measures to
    14·1 answer
  • Almaden Hardware Store sells two product categories, tools and paint products. Information pertaining to its 2021 year-end inven
    6·1 answer
  • Transformational leaders use four key kinds of behaviors that affect followers. paul vallas exhibits _________ as he explains hi
    11·1 answer
  • The statement of owner’s equity contains the
    11·2 answers
  • Which of the following is NOT a type of mistake in contract law?
    11·1 answer
  • Admitting New Partners Who Buy an Interest and Contribute AssetsThe capital accounts of Trent Henry and Tim Chou have balances o
    9·1 answer
  • he Bread Company promotes its brand in new international markets by providing rights to local bakeries and bistros to use its re
    8·2 answers
  • Emma is a marketing manager at a multinational corporation. She gets anxious when her job gets stressful, and she tends to get a
    13·2 answers
  • Suppose that when disposable income decreases by $2,000, consumption spending increases by $1500. Given this information, we kno
    10·1 answer
  • Describe how each of the following would affect the U.S. production possibilities frontier: (a) an increase in the number of ill
    10·1 answer
Add answer
Login
Not registered? Fast signup
Signup
Login Signup
Ask question!