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Andru [333]
4 years ago
5

A broker-dealer is physically located and registered in State A. The broker-dealer has an existing client in State A who is a st

udent finishing undergraduate studies. The client has just been accepted to medical school in State B. Which statement is TRUE about the broker-dealer contacting the client while she is in medical school in State B?
A. The broker-dealer can contact the client while she is in medical school in State B without having to register in State B using the "existing customer" exemption
B. The broker-dealer can contact the client while she is in medical school in State B without having to register in State B because the client is attending a not-for-profit educational institution
C. The broker-dealer can contact the client while she is in medical school in State B without having to register in State B because of the reciprocity agreements that all States maintain regarding registration requirements
D. The broker-dealer must be registered in State B in order to contact the client while she is in medical school in State B
Business
1 answer:
mars1129 [50]4 years ago
7 0

Answer:

D) The broker-dealer must be registered in State B in order to contact the client while she is in medical school in State B

Explanation:

Since the client will live in state B for an extended period of time, at least 4 years if she completes medical school, the broker-dealer must be registered in state B if he wishes to continue doing business with her.

If the client would have only gone to state B for a few months, then the broker could have still worked with her without registering in state B since the client could be considered on a vacation trip.

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Answer:

This view opens the opportunity to manage oneself, a pre-requisite to attempting to manage others. Management functions include: Planning, organizing, staffing, leading or directing, and controlling an organization (a group of one or more people or entities) or effort for the purpose of accomplishing a goal.

Explanation:

3 0
3 years ago
Accomplished computer techs should treat anything said to them as a personal confidence, not to be repeated to co-workers or bos
schepotkina [342]

Answer:

Integrity

Explanation:

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This is simply refered to as a quality or an attribute of information that states or explain how data is whole, complete, and uncorrupted.

3 0
3 years ago
An online investment blogger advises investing in mutual funds that have performed badly the past year because ""regression to t
ivolga24 [154]

No , he is not correct

Explanation:

He's not right, because other factors, such as recession, economic crisis, large debts, etc, might be the source of the bad performance.

It means not that bad performance stops next year, so a lot of money can be wasted if the bad performance carries on.

Investors find some negative factors significant to mutual funds, like high cost ratios paid to the investor, undisclosed front and back-end costs, lack of control over investment decisions and skewed returns, that are perceived to be bad investments.

3 0
3 years ago
Bo signs a lease with Capri Apartments to lease a studio apartment for the next year for $650 per month.
FinnZ [79.3K]

Answer:

b. an express contract.

Explanation:

Since Daisy signs on Capri's behalf, the contract is between Bo and Capri, not Daisy.

Since there is a lease, an actual signed document, the options of no contract and implied contract are discarded.

An express contract is written in an specific language with its terms stated expressly at the time of contract formation, and is made under a company seal. A simple contract doesn't require a seal.

The lease is signed under Capri Apartments' seal and thus is an express contract.

4 0
3 years ago
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5 0
3 years ago
Read 2 more answers
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