Câu 62: SERIES-63: Uniform Securities State Law Examination

Under the Uniform Securities Act (USA), the term "investment adviser" does not apply toI. an investment advisory firm owned and operated by a sole proprietor.II. a bank or savings institution.III. an investment adviser representative.IV. a broker-dealer or its agents if the advice is incidental to the business although there is a nominal charge for any specific investment advice given.

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