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
For sustainable development to become a reality, which approach offers the best opportunity for this to happen?
ss7ja [257]

Answer:

<u>Stakeholder.</u>

Explanation:

The best opportunity for this to happen is the stakeholders.

Stakeholders can be defined as the strategic audience that every company has, that is, it is made up of people, organizations, shareholders, suppliers, customers, the community, the press, etc., which constitutes all the interested parties directly affected by a project. or indirectly.

Therefore, this approach that offers the greatest opportunity for sustainable development to become a reality in the organizational environment, as stakeholders correspond to the integration between society and business, therefore the company must carry out its activities in accordance with the interests of stakeholders, acting with ethics and social and sustainable responsibility, as organizations are inserted in a broad context, which corresponds to society. Being ethically aligned with socio-environmental values ​​ensures that the company has a better perception in the active market and consequently more success.

3 0
3 years ago
A firm with market power faces the following estimated demand and average variable cost functions: Qd = 39,000 - 500 P + 0.4 M -
34kurt

Answer:

p = $62

Explanation:

the pictures herewith shows the whole explanation for the the work. Thank you and i hope the explanation works  

7 0
3 years ago
Favourite drink?<br><br> pepsi<br><br> cola<br><br> lemonade<br><br> other? comment
frutty [35]

my favorite is strawberry lemonade


8 0
3 years ago
Read 2 more answers
Opentable is a reservation mechanism for restaurants. It uses the Internet to allow consumers to reserve tables in many places t
LUCKY_DIMON [66]

Opentable is a reservation mechanism for restaurants. It uses the Internet to allow consumers to reserve tables in many places throughout the United States. It is an example of multichannel marketing.

The goal is to attract, retain, and build relationships with buyers who use various channels. It is a blending of different communication and delivery channels.

Intensive Distribution: As many outlets as possible. The goal of the intensive distribution is to penetrate as much of the market as possible.

Multichannel marketing is a blending of different communication and delivery channels. The goal of multichannel marketing is to attract, retain, and build relationships with buyers who use various channels.

Learn more about multichannel marketing at

brainly.com/question/14497621

#SPJ4

6 0
2 years ago
A local farmer grows and sells corn and pumpkins to the local grocers. Look at the farmer's business as a system. In which categ
Andreas93 [3]

Answer:

The correct answer is letter "E": output.

Explanation:

The output is the number of goods or services produces by an organization given a specific period. The output is expressed in monetary value and is usually compared to the costs it took to produce the goods or services. The output does not necessarily imply talking about material goods. The output is intangible as well.

Thus, <em>the pumpkins production profits and losses of a farmer are considered as part of the output of an economy</em>.

3 0
4 years ago
Other questions:
  • Assume that the interest rate on borrowings in south korea is 1 percent, but the interest rate on deposits in british banks is 7
    13·1 answer
  • "Let's assume that the government decides to regulate a natural monopoly by forcing them to produce at a point where the natural
    8·1 answer
  • Jim and jackie are married with three children at home and a mortgage. jim’s net pay per year is $67,000 and jackie does not hav
    7·1 answer
  • The regular pattern of collection of credit sales is 40% in the month of sale, 50% in the month following sale, and the remainde
    12·1 answer
  • Presented below is information related to Teal Mountain , Inc. Date End-of-Year Inventory (End-of-Year Prices) Price Index Decem
    10·1 answer
  • Individuals and business organizations that buy finished goods and resell them to make a profit without changing the physical ch
    5·1 answer
  • I am on a iPad pls help me I cannot join brainly it's says " We're sorry, but we are not able to complete your registration at t
    6·1 answer
  • If income summary has a $13,500 debit balance before it is closed to the capital account, the company
    13·1 answer
  • The worst economic time of the last century was during_____.
    15·1 answer
  • Marci buys a jewelry box that is missing a part. When thinking about her rights as a consumer, Marci is most likely concerned ab
    8·1 answer
Add answer
Login
Not registered? Fast signup
Signup
Login Signup
Ask question!