1answer.
Ask question
Login Signup
Ask question
All categories
  • English
  • Mathematics
  • Social Studies
  • Business
  • History
  • Health
  • Geography
  • Biology
  • Physics
  • Chemistry
  • Computers and Technology
  • Arts
  • World Languages
  • Spanish
  • French
  • German
  • Advanced Placement (AP)
  • SAT
  • Medicine
  • Law
  • Engineering
Fofino [41]
3 years ago
9

Under the Investment Advisors Act of 1940, if a registered investment advisor requires prepayment of $1200 or more of advisory f

ees, 6 months or more in advance of rendering services, the advisor must
Social Studies
2 answers:
jok3333 [9.3K]3 years ago
6 0

Answer:

<u>give each new client a copy of his balance sheet</u>

Explanation:

Note that an investment advisor manages the money or financial assets of their clients such as stocks, bonds, and mutual funds—and then buy, sell, and monitor them as directed by the clients.

According to the Investment Advisors Act of 1940 a federal law which defines the role and responsibilities of an investment advisor/adviser, in such a scenario the investment advisor would provide each new client a copy of his balance sheet.

ycow [4]3 years ago
6 0

Answer:

Under the Investment Advisers Act of 1940, if a registered investment advisor requires prepayment of $1200 or more of advisory fees, 6 months or more in advance of rendering services, the advisor must:

A. give discretionary authority to the adviser

B. receive a copy of the adviser's balance sheet

C. be provided with a "Brochure" at least 5 days in advance of signing a contract

D. be reported to the Securities and Exchange Commission

Explanation:

The best answer is letter B: the adviser must include a balance sheet in the ADV Form Part 2A that constitutes the "Brochure" that must be given to customers at, or previous to, entering into an advisory contract.

You might be interested in
Approaches that attempt to explain observable behavior by investigating mental processes and structures that cannot be directly
Gekata [30.6K]
Cognitive Psychology
8 0
3 years ago
True or False?
Harlamova29_29 [7]

Answer:

True

Explanation:

Back in the day during the 90s-80s there was soo much immigration from countries like Cuba, Mexico, Columbia and Puerto Rico.

4 0
2 years ago
Read 2 more answers
These sounds come from a source within a film's world. They are the sounds heard by both the movie's audience and characters. Gr
Andrei [34K]

These sounds come from a source within a film's world. They are the sounds heard by both the movie's audience and characters. Group of answer choices on-screen sounds diegetic sounds non-diegetic sounds offscreen sounds are Diegetic sounds.

The sound that originates from inside the video or film global is termed diegetic sound. It can come both from on-display or off-display screen however it constantly occurs at the identical time that the action takes region.

An individual's speech, the roar of a dashing car, or the bang of Clint Eastwood's revolver are all examples of diegetic sound. The source of diegetic sound mustn't necessarily be on display – the rumbling of thunder or a historical piano track in a restaurant scene is also diegetic sound.

A diegetic sound is any sound that originates from the arena of a film. a completely easy manner to consider diegetic sound is to think about it as that could make a sound in the world of a movie. If the characters can listen to it, it's diegetic. The sound mustn't be featured on display.

Learn  more about diegetic sounds here brainly.com/question/27676005

#SPJ4

8 0
1 year ago
Research is conducted to determine if there is a relation between lung capacity and proximity to coal mines. Does the descriptio
Andru [333]

Answer:

observational study

5 0
3 years ago
Which of the following best illustrates the government’s role in controlling financial institutions? a.The government directly i
diamong [38]
The best answer is the last one:c. The government regulates the terms that credit card companies can give their customers.


The law that regulates the Credit Card conditions was passed in 2009 and is known as the Credit Card Accountability Responsibility and Disclosure Act..

For example the law dictates better advance notice of charges and prohibits retrospective increase of interest rate (charging the rate for the previous months).

6 0
3 years ago
Read 2 more answers
Other questions:
  • Nathan just moved into a new apartment and spent the first day hanging pictures, putting out souvenirs of important times, and p
    11·1 answer
  • Which of the following describes the Supreme Court's rule in defining constitutional principles?
    10·1 answer
  • The two sets of factors that contribute to cross-functional cooperation influence: Criticality and accessibility. Cooperation an
    11·1 answer
  • Are sets of interrelated ideas that have a wide range of applications, deal with centrally important issues, and have stood the
    12·1 answer
  • What is Developed Nations?
    11·2 answers
  • 1. Since the intent of the cartoon was to unify colonial support for the British during the French and Indian War, how might the
    15·1 answer
  • Why did the united states sign the jay treaty with britian
    8·2 answers
  • After the Great Schism occurred, what major difference separated the Eastern Orthodoxy and the Catholic faith?
    5·1 answer
  • 2. What is the current situation of water supply in Nepal? Explain ​
    7·1 answer
  • Identify the methods by which a manager of a firm can respond to variability.
    5·1 answer
Add answer
Login
Not registered? Fast signup
Signup
Login Signup
Ask question!