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Brrunno [24]
3 years ago
5

Bekah is an adviser for the company Vicoltech, which deals heavily in investments. Bekah also advises several other clients in h

er state, but no clients outside of her state. Before the Dodd-Frank Act was passed, Bekah was exempt from registration and reporting requirements with the SEC. When the Dodd-Frank Act was passed:
Business
1 answer:
photoshop1234 [79]3 years ago
3 0

Answer: d. Bekah was still exempt from the SEC’s reporting requirements.

Explanation:

Here are the options:

a. Indeterminable with current information

b. Bekah was required to register with the SEC, but not required to report information to

c. Bekah was required to begin reporting information to the SEC.

d. Bekah was still exempt from the SEC’s reporting requirements.

The Dodd-Frank Act is a comprehensive bill which places very strict regulations on the banks and lenders in order to help protect the consumers and also help in the prevention of economic recession

Based on the scenario in the question, Bekah will still be exempt from the SEC’s reporting requirements because in the Dood-Frank Act, it was stated that advisers that are only working in the same state with their clients are exempted from reporting requirements with the Security Exchange Commission.

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He is acting as a sub-agent. The sub-agent, just like the representative of the buyer, is an agent and owes a duty to care and act as an agent for the buyer representive.

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Answer: $9,000

Explanation:

Rule 144 is a regulation that governs the trading of restricted, unregistered, and control securities and is enforceable by the SEC.

Under the rule, the person, as an officer of the ABC Corporation is limited to selling the higher of 1% of the Outstanding stock the company has or the average weekly trading volume over the preceding 4 weeks.

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madreJ [45]

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B. Thanks can have collection agencies seize part of the borrowers income

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5 0
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