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Novosadov [1.4K]
3 years ago
10

Qualified Retirement plans must provide a written Investment Policy Statement. Under ERISA interpretations, all of the following

items must be included in the Investment Policy Statement EXCEPT:
[A] the client/participants investment goals and objectives
[B] risk tolerance and liquidity requirements of the client/participant
[C] time horizon
[D] a list of the actual securities in the portfolio
Business
1 answer:
mariarad [96]3 years ago
7 0

Answer:

D: a list of the actual securities in the portfolio

Explanation:

Under Employee Retirement Income Security Act of 1974 (ERISA) interpretations, the details of risk, time horizon, target asset mix, investment goals and objectives, and guidelines for review are among the items which must be disclosed in the statement. A list of the specific investments in the plan is not a required disclosure.

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The basic purpose of the securities laws in the United States is to regulate the issuance of investment securities by:_____.A. P
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Answer:

B. Requiring disclosure of all relevant facts so that investors can make informed decisions.

Explanation:

The Securities and Exchange Commission (SEC) is a governmental agency saddled with the sole responsibility of regulating the securities or capital markets, as well as protecting investors in a country.

In the United States of America, the Securities and Exchange Commission (SEC) as an independent government agency was established under the Securities Act of 1933 and the Securities and Exchange Act of 1934 of the United States of America. It has the power to propose securities rules and regulations, and enforce federal securities law in the securities market.

The basic purpose of the securities laws in the United States is to regulate the issuance of investment securities by requiring disclosure of all relevant facts so that investors can make informed decisions.

Some of the forms to be filled as required by the United States of America, Securities and Exchange Commission (SEC) includes;

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3 years ago
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4 0
3 years ago
In the context of analyzing the health, activities, and performance of a business, which of the following is a nonfinancial meth
Solnce55 [7]

3. Short surveys

Explanation:

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3 years ago
What do virtually all "phishing" emails have in common?
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In the context of work team processes, cooperative teamwork skills: Group of answer choices include the ability to have access t
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Answer:

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So as per the given situation, the above should be the answer

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3 years ago
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