Câu 99: SERIES-6: Investment Company and Variable Contracts Products Representative Qualification Examination (IR)

Which of the following would not have to register as an investment adviser or an investment adviser representative under the Investment Advisers Act of 1940?I. an insurance agent who sells only whole life and term life policiesII. a commodity futures broker -III. a bank employee who sells the banks customers only CDs and other bank securities that are FDIC-insuredIV. a person that is registered as a broker-dealer with the SEC that also provides investment advice to its customers for additional compensation

1. A. I and III only
2. B. I, II, and III only — đáp án hiện tại
3. C. II and III only
4. D. I, II, III, and IV