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never [62]
2 years ago
6

Should a registered representative enter into a private securities transaction that would entail earning compensation, the emplo

ying member will
Business
1 answer:
Andre45 [30]2 years ago
7 0

The employing member will have the opportunity to approve or disapprove of the associated person's participation.

“Registered representative” is a term that describes a person who is licensed to shop for and promote securities for customers and is subsidized by using a firm registered with the financial industry Regulatory Authority (FINRA).

Independent broker-dealers feature as complete-provider brokerage companies, however, continue to be unfastened from the limitations and demands of a large Wall Street corporation. RIAs are independent fiduciaries who may accomplice with several broker-sellers, promoting a variety of products and services.

Registered representatives constitute customers within the buying and selling of investment merchandise including stocks, bonds, and mutual budgets. Many manage complicated trades or complicated products which can be out of doors the abilities of online trading.

Learn more about Registered representatives here brainly.com/question/26179492

#SPJ4

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Why do individuals do what they do? A. Managing politics and power struggles at Goldman Sachs to ensure that customer needs are
Kay [80]

Answer: C. Motivating a new customer service employee at Aflac Insurance with a work-from-home day if performance targets are met

Explanation: The question required one to match the examples to the correct element according to the framework of the book.

According to the book, individual do what they do "Motivating a new customer service employee at Aflac Insurance with a work-from-home day if performance targets are met" .

3 0
4 years ago
Clarence is a sole proprietor who started his business on July 29, 2017. He has not elected any particular tax year. Generally,
astra-53 [7]

Answer:

Clarence must file his tax returns on schedule C which is April 15, 2020 (for 2019 taxes).

Explanation:

As a sole proprietor of a small business Clarence must include his personal tax return when he files the sole proprietorship's tax returns. Tax returns must be filed on different dates depending on what type of business is filing:

  • Sole proprietorship and single-member LLC by April 15, 2020.
  • Partnership by March 16, 2020.
  • Multiple-member LLC by March 15, 2020.
  • S corporation by March 15, 2020.
  • Other corporations (not S corporations) by the 15th day of the 4th month after their fiscal year ends.

6 0
4 years ago
When a firm finances new investments, it may set up accounts payable with suppliers, but the balance that the firm must supply i
laila [671]

When firm finances new investments, then set up accounts payable with suppliers, in which the balance that the firm must supply is called the investment in net "<u>Working</u>" capital.

This is because investment in net <u>working</u> capital is when the capital remains when the current liabilities are removed from the current assets.

The net <u>working</u> capital can be any of the cash, accounts receivable, inventory, and short-term investments or a combination of any of these elements.

The net <u>working</u> capital can be used to pay debts or invest in the growth of the company.

Hence, in this case, it is concluded that the correct answer is "Net Working Capital."

Learn more here: brainly.com/question/17043004

6 0
3 years ago
Rolston corporation is comparing two different capital structures, an all-equity plan (plan i) and a levered plan (plan ii). und
Komok [63]
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6 0
4 years ago
Which feature of a customs union differentiates it from a free trade area? A. Harmonization of members' tax ratesB. A common cur
kolbaska11 [484]

Answer: The correct answer is choice c.

Explanation: The feature that differentiates a customs union from a free trade area is that a customs union requires all members to have a common external trade policy toward non members. Free trade areas are permitted to negotiate different tariffs with different countries, contrary to the operation of a customs unions.

8 0
4 years ago
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