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Papessa [141]
3 years ago
6

An investment adviser structured as a partnership lends money to a customer to buy recommended securities. Under NASAA's Model R

ule on Unethical Business Practices of Investment Advisers, Investment Adviser Representatives, and Federal Covered Advisers, this activity is
Business
1 answer:
Eva8 [605]3 years ago
5 0

A) acceptable, provided the securities are used as collateral for the loan and the loan conforms to the provisions of Regulation T.

B) acceptable, provided the loan is made under the provisions of Regulation T of the Federal Reserve.

C) unethical.

D) acceptable, provided the securities are used as collateral for the loan.

Answer: Unethical

Explanation: Based on the model and policy of the North America Securities Administrator's Association, the investment adviser cannot lend money to a customer to purchase recommended securities under the guise of being partners, such behavior is deemed UNETHICAL and in violation of the rule binding the practices and investment advisers and investment adviser representatives.

Customers can purchase securities by taking loans from recommended or regulated lender, broker or bank.

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Consignment goods are:
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Explanation:

Consignment goods -

It refers to the goods holded by the consignee which is responsible for selling the goods , is referred to as consignment goods .

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Answer:

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Explanation:

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