Câu 77: SIE: Securities Industry Essentials
Under the Investment Advisers Act of 1940, which of the following responses pertains to an investment adviser?
Nội dung câu hỏi
Under the Investment Advisers Act of 1940, which of the following responses pertains to an investment adviser?
Các lựa chọn
Đáp án được giữ gọn theo nhãn A, B, C, D trong phần bình chọn tương tác.
- A. An investment adviser is required to register with the SEC and with each state they operate in.
- B. An investment adviser has a fiduciary duty to provide investment advice in the best interests of their clients. — đáp án hiện tại
- C. An investment adviser is typically compensated for services based on transactions that are executed.
- D. An investment adviser is permitted to hire an unregistered representative to provide financial advice to clients.
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