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postnew [5]
3 years ago
9

"A Registered Investment Adviser publishes a web-based newsletter. He is approached by a marketing firm for a list of the RIA's

customers. The marketing firm is not going to pay for the customer list, but has agreed to give the RIA computer equipment that will be used in publishing the RIA's newsletter. This action is:A. permitted because it directly benefits the RIA's customersB. permitted because the SEC permits the payment of ""soft dollars""C. prohibited because the computer equipment qualifies for accelerated depreciation deductions under IRS rulesD. prohibited because the RIA did not get written permission from each client to release their information"
Business
1 answer:
nikitadnepr [17]3 years ago
7 0

This action is prohibited because the RIA did not get written permission from each client to release their information

Explanation:

A Registered Investment Advisor (RIA) is an entity or company that advises and maintains the portfolios of extremely wealthy individuals on securities. RIAs have a responsibility to provide financial advice that is in the best financial interest of their investors and their clients. They are also under a moral responsibility.

RIA Customer names and addresses are confidential and may not be "sold" or transmitted to another party except with written prior approval of each user. The possibility that the RIA collects computer equipment and not cash paid for providing the customer list does not impact this breach

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A warrantless search of a vehicle must be based on:
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Reasonable suspicion.
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3 years ago
What are examples of people creating intellectual property? Check all that apply.
Arlecino [84]

Answer:

Examples of creating intellectual property includes:

1. Liam draws a picture

2. Riley designs a logo for a company he is starting.

3. Makayla writes and publishes a book.

4. Sydney invents a new style of safety collar for pets.

Explanation:

Intellectual property is a term refer to intangible creation from human intellect. Creating intellectual property requires the creator to have the activity of making new thing or idea from scratch and requires for the creation of mind of a human. Several examples of intellectual property creation are artworks, designs, literary, etc. So that, the 4 above answers are the true examples.

6 0
3 years ago
"Clothing maker The Gap states that its purpose as an organization is to "create emotional connections with customers around the
alexdok [17]

Answer:

mission statement

Explanation:

Mission statement -

It is the statement about the organization , as why is the organization in existence , determining the goal of the operation , the type of product ans service that the organisation provides , find the overall goal and the primary market and customer , is known as the Mission statement .

Hence , from the question , The Gap , the clothing maker have certain motto , i.e. , create emotional connections with the customer ,

Therefore , it is the company's Mission statement .

8 0
3 years ago
A stock’s dividend is expected to grow at a constant rate of 5 percent a year. Which of the following statements is most correct
vova2212 [387]

Answer:

Option C      

Explanation:

the correct answer is Option C                                                                    

when the stock's dividend is expected to grow at a constant rate of 5 percent per year then the price of the stock expected to be higher by 5% over the span of one year.

hence, the only option which is correct is option C in which the expected growth is expected to be 5 % after one year.

6 0
3 years ago
The term inflation is used to describe a situation in which
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Answer: The correct answer is Choice A.

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The measure of inflation is the Inflation Rate. This is the annualized percentage change in a general price index (usually the consumer price index) over time.

3 0
3 years ago
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