1answer.
Ask question
Login Signup
Ask question
All categories
  • English
  • Mathematics
  • Social Studies
  • Business
  • History
  • Health
  • Geography
  • Biology
  • Physics
  • Chemistry
  • Computers and Technology
  • Arts
  • World Languages
  • Spanish
  • French
  • German
  • Advanced Placement (AP)
  • SAT
  • Medicine
  • Law
  • Engineering
Alinara [238K]
3 years ago
6

Under NASAA's Statement of Policy on Dishonest or Unethical Business Practices of Broker/Dealers and Agents, which of the follow

ing is NOT considered when determining excessive trading in a client's account?A) Investment objectives of the client.B) Client's financial status.C) Length of association with the agent.D) Character of the account.
Business
1 answer:
AlladinOne [14]3 years ago
3 0

Answer:

Under NASAA's Statement of Policy on Dishonest or Unethical Business Practices of Broker/Dealers and Agents, which of the following is NOT considered when determining excessive trading in a client's account:

C) Length of association with the agent.

Explanation:

  • NASAA stands for The North American Securities Administrators Association that ensure the safety of the investor.
  • The option a, b and d are not correct as the Under the NASAA's statement of policy of dishonest or unethical business practices of broker/dealers and agents, investment objectives of the client, financial status of the client as well as the character of the account are considered.
  • The option c is correct as length of association with the agent is not the concern of the NASAA so it is taken into the consideration.

You might be interested in
_____ gives employers the benefit of keeping an experienced worker and gives older people a chance to make a continued contribut
Lunna [17]

Phased retirement gives employers the benefit of keeping an experienced worker and gives older people a chance to make a continued contribution at a more relaxed pace.

<h3>What is Phased retirement ?</h3>
  • A human resource's strategy called phased retirement enables full-time employees to work part-time hours while starting to receive retirement benefits.
  • Employers may be able to better manage or even lower payroll costs during the transition by utilizing phased retirement.
  • This plan enables the retiree to work less hours, often switching from full to part-time, and uses less payroll funds.
  • It is completely optional and requires the agreement of both the employee and the hiring organization.
  • An employee must have worked three years straight at a full-time job in order to be eligible to participate.

Learn more about retirement here:

brainly.com/question/14502477

#SPJ4

4 0
1 year ago
In human resources management, job evaluation means that managers evaluate each employee on how well he or she is performing ass
Elina [12.6K]
The answer is False. Please make my answer the brainliest answer
7 0
3 years ago
If the U.S. dollar appreciates, an MNC's: a. exports denominated in foreign currencies will probably increase. b. U.S. sales wil
Hoochie [10]

Most likely when the U.S. dollar appreciates, the MNC's interest owed on foreign funds borrowed will probably increase.

MNC refers to Multinational corporation .

  • The Multinational corporation are known to borrow from foreign bodies in dollars.

  • Hence, when the dollar appreciates, the amount owed to the foreign bodies will increase consequently.

Therefore, the Option C is correct because the MNC's interest owed on foreign funds borrowed will probably increase when U.S. Dollars appreciates.

Read more about this here

<em>brainly.com/question/14124450</em>

4 0
2 years ago
Which of the following loans will typically offer the lowest interest rate? A:Payday loan B:Federal Student Loan C:Private Loan
neonofarm [45]
C. Private loan - a loan between two private parties can be set to whatever they want and is usually lower than the average that banks and other professional industries offer.

FYI - payday loans will have some of the highest interest rates of all loans.

Hope that helps 
8 0
3 years ago
What is trading account​
REY [17]
a trading account deals with the u.s. government
6 0
2 years ago
Other questions:
  • If the interest rate on cds increases from 5% to 10%, the opportunity cost of holding money will ______ and the quantity demande
    15·1 answer
  • You work as the sales manager for a company that sells paper supplies to businesses of all sizes. Because the profit margins are
    7·1 answer
  • Techno is planning a security offering under regulation d, rule 505. under this rule, techno can
    7·1 answer
  • A company can gain a cost competitive advantage by:
    7·1 answer
  • Which of the following is not true about an informational interview?
    5·2 answers
  • How much money should Francesca set aside in her monthly budget in
    5·1 answer
  • Wildhorse Corp. has total current assets of $12,152,000, current liabilities of $5,849,000, and a quick ratio of 0.94. How much
    6·1 answer
  • Once tradable pollution permits have been allocated to firms:
    5·1 answer
  • the inventory method that will always produce the same amount for the cost of goods sold in a periodic invenotry system as
    13·1 answer
  • The following is an example in which the proposed method is applied to a fixed asset with an original cost of $248,000, an estim
    8·1 answer
Add answer
Login
Not registered? Fast signup
Signup
Login Signup
Ask question!