Question

Unless an exemption applies, under the Investment Advisers Act of 1940, an investment adviser is required to A) furnish a statement of the total dollar amounts of securities bought and sold each year to customers B) maintain a bond for an amount based on the assets under management C) furnish an audited balance sheet each year to customers for whom the advisor maintains custody D) provide each advisory client with a brochure or a summary of material changes within 120 days of the end of its fiscal year

Answer 1

Answer:

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