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
solong [7]
3 years ago
10

Brad Smith works for GHI Firm. GHI firm is a registered Broker-Dealer in State A, B and C and a registered IA in State A. Brad i

s a registered IAR in State A, and travels to State B because he wants to meet with some potential new clients in State B. Brad sets up an office in a hotel room, meets with the potential clients, and gives them advice about their portfolio.
[A] This is acceptable because the GHI Firm is registered as a B/D in State B.
[B] This is unacceptable because Brad is not registered in State B.
[C] This is acceptable because Brad does not have an office in State B.
[D] This is unacceptable because Brad is not an Agent.
Computers and Technology
1 answer:
Rashid [163]3 years ago
8 0

Answer:

The correct answer is B. This is unacceptable because Brad is not registered in State B

Explanation:

Given:

Brad is a registered Investment Advisory Representative (IAR) in State A.

In the question, it's not stated that Brad is not registered in State B.

Setting up an office in State B is unacceptable because Brad is holding himself out as an IAR in State B and he is not registered as an IAR in State B.

Though GHI is a registered firm in State B, Brad also needs to be registered before setting up an office in other states.

You might be interested in
I need help with these
solmaris [256]

Answer:

Choose internet is the right answer

7 0
3 years ago
In a construction company, a new system has been in place for a few months and now there is a list of possible changes/updates t
Vitek1552 [10]

Answer:

A) corrective.

B) adaptive.

C) perfective.

Explanation:

Making changes due to an error is corrective, making changes in order to be able to accommodate new methods is adaptive, and changes in strict adherence to regulations must be perfective.

8 0
3 years ago
Can someone give me a song I can make a dance too not a school related question
erastova [34]

try an anime song and move around like a noodle, no im just kidding try shawn mendes he has rlly good songs

5 0
3 years ago
Read 2 more answers
Jessica is working on a report for her art history class. She is using Microsoft Word for her report so that she can incorporate
Lana71 [14]

Answer:

Clicking the F4 button

Explanation:

The function keys or F keys are in most cases lined along the top of the keyboard and labeled F1 through F12. These keys act as shortcuts, performing certain functions.

The F4 button is a quick way to repeat the last command /action carried out.

For Jessica to continue applying this same style to additional headers, all she needs to do is click the Function Button F4 at the new location where she wants to apply Heading 1 Quick Style.

Other functions of the F4 button are:

  • Alt+F4 closes the program window currently active in Microsoft Windows.
  • Ctrl+F4 closes the open window or tab in the active window in Microsoft Windows.
8 0
3 years ago
Read 2 more answers
What was one of general george washington's skills as a military leader?
Wewaii [24]
<span> leading retreats that saved the lives of his men</span>
5 0
3 years ago
Read 2 more answers
Other questions:
  • Molly wants to make some cells in her balance spreadsheet different colors so that she can more quickly find important data. Wha
    13·2 answers
  • What port does rdp use by default and from what range of numbers should you select a private port number?
    15·1 answer
  • What theme could come from Piper's feelings and actions. Pixars short film piper
    11·1 answer
  • While inspecting an element in the DOM on my website using the Chrome Devtools I accidentally deleted the DIV that had all my au
    8·1 answer
  • How many bits would be in the memory of a computer with 4kb memory?
    8·1 answer
  • The__ key is used to group or identify a field or record within a table. (you don't need it).
    5·2 answers
  • python Consider this data sequence: "3 11 5 5 5 2 4 6 6 7 3 -8". Any value that is the same as the immediately preceding value i
    7·1 answer
  • Help me plzzzz ASAP T-T and it's Cyber Security but my last day of school is tomorrow and I'll graduate in June 24 so plzzzzz I
    12·1 answer
  • Is there any difference beetween the old version of spyro released on the origional and the newer ones??? or is it only change i
    8·1 answer
  • The ____ line for any e-mail messages you write should clearly state the intention of the e-mail..
    15·1 answer
Add answer
Login
Not registered? Fast signup
Signup
Login Signup
Ask question!