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Arte-miy333 [17]
3 years ago
12

Consent of the client before completion of a trade made between the firm and a client must be made when A) an investment adviser

will be acting in the capacity of a principal B) a broker-dealer will be acting in the capacity of a principal C) a broker-dealer will be acting as a contra party to the trade D) a broker-dealer will be acting in the capacity of an agent
Business
1 answer:
Nina [5.8K]3 years ago
5 0

Answer:

A)  an investment adviser will be acting in the capacity of a principal

Explanation:

In case when the consent of the client made prior to completing the trade among the firm and client is made when the investment advisor would be acting as a principal i.e he has a capacity to act as a principal

Therefore in the given situation,  option A is correct and the same is to be considered

hence, all other options are incorrect

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Do you agree with the​ argument? Should the government treat kidneys like other goods and allow the market to determine​ price?
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Under the temporal method, income statement items that relate to newly recognized assets and liabilities generally are remeasure
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3 years ago
Costs of goods sold of a manufacturing represents the costs related to building a product that are expensed when it is sold. to
Anastasy [175]

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3 0
3 years ago
Angelo invested $4,000 into two accounts. One account paid 4% interest and the other paid 9% interest. He earns 6% interest on t
inn [45]

Answer:

$2,400 was placed in the account earning 4%, and $1,600 was placed in the account earning 9%

Explanation:

In this case, we have two unknowns, so in order to be solved, we need to find two equations.

We know that amount 1, that we call x, plus amount 2, we call y, is 4000.  

<em>x + y = 4000</em>

Also we know, when we add the interest earned on amount 1 to the interest earned on amount 2, the total interest is 6% of 4000, it means: 240

<em>0.04x+0.09y=240</em>

So, we have two equations with two unknowns

<em>x + y = 4000</em>

<em>0.04x+0.09y=240</em>

That we can solve for any method we know. We will use substitution.  Lets clear from first equation the unknown x.

x=4000-y

Then, we substitute in second equation

0.04(4000-y)+0.09y=240

And we solve:

160-0.04y+0.09y=240

0.05y=240-160

y=80/0.05=1600

Now we simply plug this into our first equation and solve for x

x+y=4000

x+1600=4000

x=4000-1600

x=2400

So, $2,400 was placed in the account earning 4%, and $1,600 was placed in the account earning 9%

4 0
3 years ago
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