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Pie
3 years ago
15

A registered representative who engages in private securities transaction is required to do all of the following except:[A] give

written notice of the BD employing the RR[B] receive approval from the BD employing the RR[C] record the transactions on the books of the BD if the RR receives a commission[D] give written notice to the issuer of the securities of the BD's policy regarding private securities transactions.
Business
1 answer:
Marta_Voda [28]3 years ago
7 0

Answer:

[D] give written notice to the issuer of the securities of the BD's policy regarding private securities transactions.

Explanation:

The registered representative is obligated to give written notice of the BD employing the RR, receive approval from the BD employing the RR, and record the transactions on the books of the BD if the RR receives a commission. However, the registered representative is not expected to notify the issuer of the securities for private securities transactions.

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Ratchet Manufacturing's August sales budget calls for sales of 8,000 units. Each month's sales are expected to exceed the prior
vlabodo [156]

Answer:

September sales in dollar 210,000

Explanation:

<u>To get the total dollar sales for September first, we need to calculate how many units are expected.</u>

The previous month, is August and we expect sales to grow at 5%

So we can calculate:

August sales in units 8,000

September = August + 5%

September = 8,000 x 1.05 = 8,400 units

<u>Now, we multiply by the selling price with september sales. This will be our total revenue</u>

8,400 units x $25 each = $210,000

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3 years ago
As a group, create a team charter for governing your future CLC activities. The charter should include plans for team building,
Over [174]

Answer:

First of all to create an effective team charter as road way for your group or team, for governing CLC activities the following needs to be considered

<em>• Who are the people involved </em>

<em>• Who is a team leader and who resolves problems </em>

<em>• How long does it take to create a charter </em>

<em>• How long does the charter last </em>

<em>• Creating a Team purpose and mission to others in the organization</em>  

Explanation:

<em>Now the first Method of having a good charter team usually involves the background </em>

<em />

<em>When Creating a charter, you start from the initial stage or point. Questions would be asked on what areas of focus is this charting heading towards. Like what types of project, it would get involved in on the long /short term. </em>

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<em>Questions can be asked as the following bellow, </em>

<em>• Who is a team leader </em>

<em>• What are the roles of each stakeholder in the team </em>

<em>The second Method or role after having a startup background is now to focus on the deeper aspects of the charter like </em>

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<em>• How is success evaluated or measured </em>

<em>• Having a lay down principles to guide the team or group in the right track </em>

<em>• Define roles each team member would play in terms of the success of the company. </em>

<em>• Have a mission and vision statement on how the company would grow on the long term </em>

<em> </em>

<em>The third Method after the Mission and vision statement is created for a successful team charter, it’s the roles and responsibility of team members. For this stage roles and responsibilities would be assigned to each group in the charter by defining the following terms </em>

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<em>• Assign who is doing this for whom and the purpose </em>

<em>• Having asses on all areas needed for the group to succeed  </em>

<em>• Ensure all Team members voice are known, expressed to their best of abilities. </em>

<em>• Create what is called RACI (Roles, Accountable, consulted, Informed) roles and responsibilities matrix </em>

<em>The Fourth Method of a successful team charter is Budget and Resources  </em>

<em>Once roles and responsibility have been established, the team/Group can access the budget and resources to carry out the tasked at hand. </em>

<em> </em>

<em>The Fifth Method of a successful team after budget and resources are, </em>

<em>The internal checks, balance and reviews. </em>

<em>The Team Members of the charter should decide, also, whether team goals assigned to members will be shown in the team members’ annual reviews. A good example of a reliable  system is the SMART goal method The goals should be: </em>

<em>• Specific </em>

<em>• Measurable </em>

<em>• Achievable </em>

<em>• Realistic </em>

<em>• Time-based </em>

<em> </em>

<em> </em>

<em> </em>

<em> </em>

<em> </em>

<em> </em>

<em> </em>

<em> </em>

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3 years ago
Because of the __________, the united states does indeed have a(n) __________. income tax, progressive tax system income tax, re
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income tax, progressive tax system income tax

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3 years ago
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<span>The environmental conditions of the sea help with this process to be successful. The waters contain the gametes and its movements helped fertilization to occur. </span>

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Illusion [34]

<span>True. </span>

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