Under the Investment Advisers Act of 1940, cash payment to a broker-dealer from an investment adviser in return for client refer

Question

2 years ago

15

Under the Investment Advisers Act of 1940, cash payment to a broker-dealer from an investment adviser in return for client refer

rals is A) not permitted under any circumstances B) permitted with no restrictions C) permitted if the investment adviser makes certain disclosures to the clients and meets other requirements D) permitted if the investment adviser and broker-dealer are affiliated

Business

1 answer:

-Dominant- [34] · Answer 1 · 2022-10-18T03:11:10+03:00

-Dominant- [34]2 years ago

4 0

Answer:

It's A.

Explanation: