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diamong [38]
1 year ago
7

Under nasaa recordkeeping rules for investment advisers, any advertisement, circular or other communication must be retained:___

__.
Business
1 answer:
Arte-miy333 [17]1 year ago
5 0

Under the NASAA model rule, advertisements, circulars, bulletins or other communications circulated by the adviser to 2 or more persons must be retained for 5 years.

Such communications can recommend the purchase or sale of a specific security and if the communication does not state the reasons for the recommendation, a memo must be retained indicating the reasons for the recommendation.

The North American Securities Administrators Association (NASAA) proposed new rules to try and reduce the stubbornly high number of arbitration awards for harmed investors that go unpaid. If states adopt the model rules, those regulators could pursue harsher enforcement measures against registrants and firms who aren't paying—including revoking state-issued licenses.

While NASAA approved a model act this past May to assist some securities violation victims in getting their awards, in the request for comment NASAA argued a recovery fund could be hard to enact because there is “not yet widespread political support.” NASAA also argued the amount in a recovery fund could be “finite,” that payouts could be delayed, and that it would not address an advisor or firm’s individual misconduct.

Learn more about NASAA here

brainly.com/question/17030439

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When external costs are present, Group of answer choices democratic political decision-making can be counted on to improve the e
MaRussiya [10]

Answer:

The correct answer is the first option: Democratic political decision-making can be counted on to improve the efficiency or resource allocation.

Explanation:

To begin with, in the microeconomics theory, when there are external costs it means that people external to the transaction or situation are being involved in it and therefore that they are getting costs for that particular situation that they did not asked for it. That is why that according to the microeconomics theory when there are external situations to the market, this last one may sometimes not be able to efficiently allocate every resource to everybody and it is in that time when the government as a public state must entry in order to try its best to find the efficiency in the distribution of the limited resources.

3 0
4 years ago
The report that affirms that a worker has been released from medical treatment and is fit to return to work and resume normal jo
romanna [79]

Answer: final report

Explanation:

The report that affirms that a worker has been released from medical treatment and is fit to return to work and resume normal job responsibilities is referred to simply as the final report.

The report simply tells the company or organization that such person is now Hale and hearty and can return back to his or her workplace.

8 0
3 years ago
Inez was content with her job at Pieces Packaging until the company added two levels of supervision, lowered bonuses, and decrea
nasty-shy [4]

Answer:

hygiene

Explanation:

<em>A hygiene factor is what characterizes the environment of an individual's work, this includes policies, relationships between co-workers, security, supervision, etc.</em> In the question given Inez's dissatisfaction is due to these factors that were changed by her company.

I hope you find this information useful and interetsing! Good luck!

3 0
3 years ago
Herzberg concluded from his studies that managers should focus on ____ factors to produce long-term dedication from their employ
GREYUIT [131]
<span>C. Hygiene. If managers want long-term dedication from their employees, they need to focus on the office or job site environment, setting clear policies, assigning challenging work, and acceptable working conditions.</span>
8 0
3 years ago
Identify the situation below that will result in a favorable variance.
DENIUS [597]

Answer:

d. Actual revenue is higher than budgeted revenue.

Explanation:

When the Actual income/revenue/benefit is higher than the budgeted/estimated income/revenue/benefit, the variance will be favorable.  

When the Actual income/revenue/benefit is lower than the budgeted/estimated income/revenue/benefit, the variance will be unfavorable.  

When the Actual expense/cost/loss is higher than the budgeted/estimated expense/cost/loss, the variance will be unfavorable.

When the Actual expense/cost/loss is lower than the budgeted/estimated expense/cost/loss, the variance will be favorable.

a.

As the actual cost incurred is higher than the cost estimated, then the variance in both costs is unfavorable.

b.

As the actual Income earned is lower than the income estimated, then the variance in both incomes is unfavorable.

c.

As the actual expense incurred is higher than the expense estimated, then the variance in both expenses is unfavorable.

d.

As the actual revenue incurred is higher than the revenue estimated, then the variance in both revenues is favorable.

e.

As the actual revenue earned is lower than the revenue estimated, then the variance in both revenues is unfavorable.

5 0
3 years ago
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