Câu 97: SERIES-6: Investment Company and Variable Contracts Products Representative Qualification Examination (IR)

Which of the following persons would not fall under the definition of "investment adviser," under federal guidelines?

1. A. an individual who advises only Oprah Winfrey on her investment portfolio and receives a nice salary for doing so.
2. B. a Denver-based, broker-dealer that is registered as a broker-dealer with the SEC and provides investment advice to members of the Denver Broncos, the Colorado Rockies, the Denver Nuggets, and the Colorado Avalanche organizations in exchange for box seats at their games. No monetary compensation is expected or given.
3. C. an individual who works as an agent for a broker and occasionally gives investment advice to clients who request it, but receives no additional compensation for doing so. — đáp án hiện tại
4. D. None of the above would fall under the definition of "investment adviser," as defined by the Investment Advisers Act of 1940.