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fgiga [73]
3 years ago
13

As defined in the Investment Advisers Act of 1940, the term "person associated with an investment adviser" would include all of

the following EXCEPT
A) an employee of the firm with a degree in communications whose job is the graphic design of the investment adviser's research publications


B) an individual employed by an investment adviser to solicit new advisory clients, compensated at a rate of $500 for each new account.






C) a senior officer of an investment adviser responsible for marketing the adviser's services as opposed to making investment advisory decisions.






D) a silent partner in an advisory firm organized as a general partnership
an employee of the firm with a degree in communications whose job is the graphic design of the investment adviser's research publications

The term "person associated with an investment adviser" means any partner, officer, or director of such investment adviser (or any person performing similar functions), or any person directly or indirectly controlling or controlled by such investment adviser, including any employee of such investment adviser, except that persons associated with an investment adviser whose functions are clerical or ministerial shall not be included in the meaning of the term. Graphic design would be considered a clerical function.
Reference: 3.1.1.5 in the License Exam Manual
Business
1 answer:
kogti [31]3 years ago
4 0

Answer:

A) an employee of the firm with a degree in communications whose job is the graphic design of the investment adviser's research publications

Explanation:

In this case, the employee who performs tasks related to graphic design, but doesn't carry out any function similar to an associate partner or director of an investment adviser, is not considered a "person associated with an investment adviser". Even if that person actually worked for the investment adviser, his/her functions are considered clerical, the same as a secretary or receptionist.  

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GalinKa [24]

A person can identify things that have given you trouble at work or in your personal life and look for ways to improve them by  Innovation, knowledge and skills.

<h3>What is knowledge?</h3>

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3 0
2 years ago
David Grange is married and claims 4 withholding allowances. If he is paid biweekly and earns $1,846 per period, use the percent
Trava [24]

Answer: $74.60

Explanation:

For people who are paid biweekly, 1 withholding allowance = $161.5

4 withholding allowances = $646

Earnings after deducting withholding allowance = $1,846 - $646

Earnings after deducting withholding allowance = $1,200

For a married person who is paid biweekly, the percentage applicable to David's pay bracket is 10% on the amount over the $454

That is, 10% on $746 ($1200 - $454)

=$74.60

7 0
2 years ago
Even though they operate from out-of-the-way airports and offer few extra services, discount, no-frill airlines like Ryanair and
Taya2010 [7]

Answer: The correct answer is "D. the benefit of lower prices to be greater than the cost of reduced services and less convenience.".

Explanation: Consumers obviously consider the benefit of lower prices to be greater than the cost of reduced services and less convenience.

Discount and no-frills airlines have less costs to cover so they can offer lower and more affordable prices for consumers. These airlines have been successful because it turns out that consumers value or prefer the lower price rather than the additional services.

3 0
3 years ago
A company purchased a delivery van for $23,000 with a salvage value of $3,000 on September 1, Year 1. It has an estimated useful
kaheart [24]

Answer:

<em>It will recognize 1,333.33 Depreciaton expense</em>

<em>for December 31th, year 1</em>

Explanation:

The straight-line Method is simply and easy to understand, It distribute the depreciation equally between years. So that implies that the formula should be:

\frac{Adquisition \: Value- \: Salvage \: Value}{useful \: life}= Depreciation \: coplete \: year

(23,000 - 3,000) / 5 = 20,000 / 5 = 4,000

Now we have to calculate the proportion

4,000 x 4/12 time in company's possesion = 1,333.33 depreciation

September + October + Novemember + December = 4 months

3 0
3 years ago
A cash register tape reflected total sales equaling $100, but the cash in the cash register drawer equaled $105. Review the stat
Zolol [24]

Answer:

The answer is given below;

Explanation:

The $ 5 collected will be treated as miscellaneous revenue.The cash over and short account will be credited for $5.

As the cash receipts are $ 105 and sales revenue is $100.The difference amount will be treated as miscellaneous revenue.

The journal entry will be;

Cash   Dr.$105

Sales Revenue    Cr.$100

Miscellaneous revenue Cr.$5

7 0
3 years ago
Read 2 more answers
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