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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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arrange the investments in order from the highest risk and return potential to the lowest risk and return potential
dimulka [17.4K]

Answer:

Arrange the investments in order from the highest risk and return potential to the lowest risk and return potential:

A. property

B. bonds

C. starting a business

D. mutual funds

Solution:

C. starting a business

A. property

D. mutual funds

B. bonds

Explanation:

Investments are the exchanges of income during one period for assets that are expected to earn income in future periods.  It is the act of committing capital now in order to obtain future earnings.  The risk and return calibration depends on one's personal circumstances and risk appetite.

Some investments offer higher returns with great growth potentials and higher risks while others offer lower returns with lower risks.

Starting a business has the highest risk and return potential.  The risk is that you may not realise any return.  However, if you are successful in the business, you can get the highest return ever.

Property investments either by building new property, buying built property, or investing in property investment fund may also yield so much returns but the risks are higher than other investments in this class.  There is no guarantee that prices of property will not fall so dramatically that you sustain big losses.  There is always need to insure your property against disasters like fire.

Mutual funds are professionally managed funds whereby money is pooled from different investors in order to buy stocks, bonds, etc. with long-term horizon.  It has higher risk profile than investing in bonds as an individual, because you could recoup some returns in bonds as interests are paid periodically.

Bonds are debt securities to a government or business with the promise of repayment and period interests.  They are generally risk-free investments with lower returns because of the guaranteed repayment.

5 0
3 years ago
True or false: the aggressive Driver typically except that collision causing behavior are aggressive
Ede4ka [16]
This could depend on the person who caused the collision. However, it would most likely be false because very rarely will the person want to accept the consequences.
8 0
4 years ago
A 70-year old client wants to invest in U.S. Treasury securities. When performing the suitability determination, the client info
Ann [662]

Answer: client's age

Explanation:

From the question, we are informed that a 70-year old client wants to invest in U.S. Treasury securities and that when performing the suitability determination, the client informs the registered representative that he is looking for after-tax income, liquidity, and to avoid market risk.

The client's age should be the least the registered representative should be concerned about. Rather, the representative should be concerned with the coupon of the recommended treasury securities and the tax bracket of the client for tax purposes.

4 0
3 years ago
Does democracy require equality of income or wealth? discuss why democracy might make a country more or less egalitarian?.
Stella [2.4K]

No, democracy DOES NOT require equality of income or wealth.

<h3>What is Democracy?</h3>

This refers to the political system where power belongs to the people and the people elect their leaders.

Hence, we can see that in a country that practices democracy, there is little influence of this political system to make the society more or less egalitarian (equality) and this is because the people have to make their own choice, irrespective of income or wealth.

Read more about democracy here:

brainly.com/question/3710021

#SPJ1

5 0
2 years ago
A U.S business sells milk to consumers in France. Which situation would most likely cause demand for milk to rise in France?
love history [14]

Answer:

Cheese and other milk products gain popularity in France

I hope this helps you

:)

3 0
3 years ago
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