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omeli [17]
3 years ago
10

A registered representative wishes to give a speech to a group of 35 potential retail clients at a restaurant. The speech is scr

ipted and is a general discussion about investing in securities. Which statement is TRUE?
Business
1 answer:
maksim [4K]3 years ago
3 0

Answer:

Prior principal approval must be obtained and a copy of the speech must be retained in your firm's Office of Supervisory Jurisdiction

Explanation:

Because the speech is to be givento 35 attendees, it is under the Retail Communication. Every speech should be honest and of good taste; and the speech must be informational, but far from promotional.

It is not required that the speech content has to be pre-filed with the SEC. A copy must be kept a period of f 3 years for inspection by FINRA examiners. The speech script would be kept on file in the firm's supervisory compliance office that is the Office of Supervisory Jurisdiction.

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Which of the following proposes that job satisfaction has a positive effect on customer service, which flows on to shareholder f
mezya [45]

Answer:

Service profit Chain model

Explanation:

A service profit chain model is a theory that explains how the job satisfaction of employees influences the profitability(or profit making) of a company through indirect means such as service quality, customer loyalty, among other things.  

Cheers

7 0
3 years ago
What are brokerage firms? 2. what are depository and nondepository financial institutions? how do they differ? 3. what are credi
pogonyaev
1:  Brokerage firms:  a type of non-depository financial institution that manages and facilitates the purchase of bonds, stocks, and other types of investments. 
2.  Depository and non-depository financial institutions:  Depository tends to be things such as banks and non-depository are life insurance companies; differences between both is that non-depository are not insured by FDIC.
3.  Credit Unions:  non-profit, member owned institutions and another type of depository institution.
4.  Demand deposit accounts:  accounts that individuals and business can use to pay their bills.
5.  Bonds:  investments that promise to pay a certain amount of interest on the principle amount after a given time.
Critical Thinking.  1.  What are some considerations in choosing a financial institution? Which one do you think would be the most important consideration for you in choosing a financial institution? --When a choosing financial institutions, you want to consider location of the institution and the availability of services in your area.  Important factors in choosing for the location and services provided; convenience and how often you go.

2. What are the pros and cons of U.S. savings bonds? --Saving Bonds offer a secure investment; does not cost you state or local tax.  The con would be figuring when to cash them in or the maturity of the bond can be confusing.

3. What are some of the problems that individuals might face if they use one of the "problematic" financial institutions?-- If something happens that results in the person going to the institution for help; institution can charge a high interest or the loan could be short.  This can result to the person being in debt or have a mark on their financial record for late payments.

4. What are some of the consumer protections available? What can individuals do to protect themselves? --Many accounts in the United States have FDIC insurance that covers $100,000 of the money in the indiviudal's account.  The government has set regulations that can and can't be practiced with consumers; such as regulations required for banks to disclose all aspects of the agreements with their clients.

5. What are some of the advantages and disadvantages of choosing a federally-insured account?--Advantage:  federally insured for up to $100,000.--Disadvantage:  interest at which account pays is well below the inflation rate


5 0
3 years ago
1. The people, procedures, hardware, software, data, and knowledge needed to develop computer systems and machines that can simu
mario62 [17]

"Learning, reasoning, and self-awareness" are among the people, procedures, equipment, software, data, and knowledge needed to create computer systems and computers that may replicate human intelligence.

<h3>Define the term process intelligence?</h3>

Process intelligence is intelligence that has been methodically gathered to examine each step in an operational workflow or business process.

  • An organization can increase operational efficiency and detect bottlenecks with the aid of process intelligence.
  • Process intelligence aims to give an organization reliable information about the work items that are currently in use, who is performing them, how long it takes to finish each task, how long the average waiting time is, and which of the bottlenecks are.
  • By tracking and examining processes in the past or in the present, process intelligence technology can assist an organization in improving process management.
  • Software for process intelligence is particularly helpful for managing and evaluating nonlinear processes with numerous dependencies.

Thus, the people, processes, tools, gear, software, information, and knowledge required to build computer systems and computers that might replicate human intelligence include "learning, reasoning, and self-awareness."

To know more about the cognitive process, here

brainly.com/question/28929319

#SPJ4

8 0
1 year ago
Julius asks Rachel if she would like to sell her boat. Rachel privately has no interest in selling her boat, and believes that J
katrin [286]

Answer:

formed a valid contract because Rachel's outward expressions showed the formation of a contract.

Explanation:

In contract, outward expressions refers to a situation when both parties has directly communicate the terms of a certain transaction and agreed upon it.

The contract is considered as 'valid' and considered to be a verbal agreement as soon as Rachel proposed a price and Julius agreed upon it.

One thing to remember, Even though this contract is considered as valid , it would be hard for Julius to held Rachel accountable to court since he has no way to proof that the verbal agreement has been made.

8 0
3 years ago
Monogramm just paid a dividend of $2.19 per share. The company said that it will increase the dividend by 15 percent and 10 over
valentinak56 [21]

Answer: $38.03

Explanation:

Based on the information given in the question, dividend for first year will be:

= D1 = $2.19 × 1.15 = $2.5185

D2= $2.5185 × 1.1 = $2.77035

Then, we calculate the value after year 2 which will be:

=(D2 × Growth Rate) / (Required Return-Growth Rate)

=(2.77035 × 1.037) / (0.107-0.037)

=$41.04

Therefore, the stock price today will be:

= (2.5185/1.107) + (2.77035/1.107²) + (41.04)/1.107²

=$38.03

7 0
3 years ago
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