Answer: Option (A) - Approval of executed trades or orders
Explanation:
Some of the roles that can be performed by municipal securities principal or municipal securities sales supervising principal include:
*** The approval of opening of customer accounts
***Approving discretionary accounts and related transactions
***Approval of advertising
***Communication with investors indirectly or directly concerning municipal securities
***Reviewing correspondence relating to sales to purchase from customers.
From the above information, it is fair enough to note that their roles do not in anyway include approving executed trades or orders
Answer:
Because Joe may be meeting with individuals who are not existing clients and may be Florida residents, he must be registered in the state of Florida as an IAR.
Explanation:
In the case shown in the above question, the IAR presents itself as a temporary installation, which is used only for quick meetings with customers, while the terms of contracts and arrangements are being discussed. However, as we can see in the text above, there is a place where businesses are managed in that state. For this reason, the IAR must be registered anyway.
It is important to note that KAPCO is officially an AI that has federal coverage, so a registration notice should be evaluated.
Y=3x+4
Y=mx+b
(Y2-Y1)/(X2-X1) = m (slope)
((-5)-4)/((-3)-0) = (-9)/(-3) = 3
(0,4) Is a point on the grid where the Y-value 4 is the Y-intercept (b)
Answer: false
Explanation: just cuz they are the leader that doesn't mean they will make all the right decisions
