Answer:
"The broker-dealer or agent may only transact business in the State if registered in the State or if exempted or excluded from registration" and "Follow ups or individualized responses to persons in the State that involve either effecting or attempting to effect transactions in securities will not be made absent compliance with State registration requirements or an applicable exemption or exclusion"
Explanation:
Uniform securities act is a state level regulation of transactions in securities at the state level. It effectively prevents securities fraud and contributes to Securities and Exchange Commission (SEC) function of enforcing regulation.
Registration is required when there are initial publica offerings. Registration is also required from agents such as broker dealers and investment advisers.
In this case an agent of a broker-dealer puts up a website that promotes the benefits of dollar cost averaging, including the caveat that it is suitable for investors only if they can maintain their periodic payments regardless of economic conditions and that it requires a long-term investment time horizon.
There is need for disclosure in a state where the agent is not registered. So that when clients view the website they do not violate the Uniform Securities Act.
The disclosure chosen above is sufficient to cover the agent
Answer:
$2,800
Explanation:
<u>REVENUE</u>
Revenue $11,000
Add:
B. Revenue earned but not yet billed = $2,800
D. Unearned revenue noe earned =<u> $2,500 </u> <u> $5,300 </u>
Total Adjusted Revenue <u> $16,300 </u>
<u>EXPENSES</u>
Expenses $11,000
Add:
A. Depreciation for February = $1,200.
C. Accrued interest expense = $800
E. Prepaid insurance =<u> $500 </u> <u> $2,500 </u>
Total Adjusted expenses <u> $13,500 </u>
Correct net income = Total Adjusted Revenue - Total Adjusted expenses
= $16,300 - $13,500
= $2,800
Answer:
The organization charged with protecting investors and the public by requiring full disclosure f financial information by companies offering securities to the public is the:_______
d. Securities and Exchange Commission.
Explanation:
The SEC (Securities and Exchange Commission) is an organization that has continued to discharge three main responsibilities with regards to the securities market. It has protected investors' investments in the capital market, maintained fair, orderly, and efficient capital markets, and facilitated capital formation. It regulates investments and the exchange of securities. It restores confidence in the capital market. It also provides transparency into the financial workings of U.S. companies.
Scarcity is relevant to Charles and Ebony's budget because it helps them make a decision on how to spend their money on the urgent needs while ignoring the other important things which comes with a burden of future cost.
Tradeoff decisions would help Charles and Ebony to analyze the amount of money that they must set out every month for essentials, and discretionary money which is the money left over.
Opportunity cost
Opportunity cost looks at affordability given the prices of goods and the individual's income. Opportunity cost measures cost in terms of what must be given up in exchange.
Therefore the factors of scarcity, tradeoff and opportunity cost will affect Charles and Ebony's budget because they have to factor in the effects of these economic forces on the budget.
Learn more about Scarcity at brainly.com/question/3081250
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<span>As ceo of a company called adelphia, John Rigas </span><span>siphoned off billions of dollars to support his family's extravagant lifestyle and bankrupted the company in the process. But eventually, John Rigas was found guilty in embezzling around $ 1 billion from his shareholders and hiding around $2.3 billion worth of Debt from his accounting books.</span>
