Which of the following entities would be required to register as an Investment Adviser under the Uniform Securities Act?
[A]An individual who is registered with the Administrator as an investment adviser representative.
[B]A person who, for compensation, provides investment advice solely on investment companies such as mutual funds.***
[C]Lawyers, accountants, engineers, or teachers whose financial advice relates to the practice of their profession and is incidental.
[D]A bank, savings institution, or trust company that charges a fee for financial advice.
Answers
False
Under the Uniform Securities Act, the entity that would be required to register as an Investment Adviser is a person who provides investment advice for compensation, including advice on securities, such as stocks, bonds, or mutual funds.
Option [B] states that a person provides investment advice solely on investment companies such as mutual funds. Since the person is providing investment advice for compensation and specifically on investment companies, they would be required to register as an Investment Adviser under the Uniform Securities Act.
Option [A] mentions an individual who is registered with the Administrator as an investment adviser representative. While they may be affiliated with an investment adviser, it is the investment adviser itself that would be required to register, not the individual representative.
Option [C] exempts professionals such as lawyers, accountants, engineers, or teachers whose financial advice relates to the practice of their profession and is incidental. They are not required to register as investment advisers.
Option [D] mentions a bank, savings institution, or trust company that charges a fee for financial advice. These entities are typically regulated by other financial regulatory bodies and may not be required to register as investment advisers under the Uniform Securities Act.
Therefore, option [B] is the correct choice as it describes an entity that would be required to register as an Investment Adviser.
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Related Questions
The price of a Honda Accord
a. and the price of a Honda Accord divided by the price of a Honda Civic are both real variables
b. and the price of a Honda Accord divided by the price of Honda Civic are both nominal variables.
c. is a real variable, and the price of a Honda Accord divided by a Honda Civic is a nominal variable.
d. is a nominal variable and the price of a Honda Accord divided by the price of a Honda Civic is a real variable.
Answers
Answer:
d. is a nominal variable and the price of a Honda Accord divided by the price of a Honda Civic is a real variable.
Explanation:
In domain of economics, nominal varable are value that can be measured in terms of it's monetary value of the price that exist at that particular period of time. For instance blood type and genotype.
real value on the other hand is been measured based on goods/services, it's is the value even when inflation has set in.
How long had it been since boats were the only way on & off manahattan
Answers
Answer:
The previous day, Monday, September 10, 2001, had been a long night for the New York charter boat captain
Explanation:
Freitas was about to take part in what has become known as the 9/11 boat lift—the largest water evacuation in history and one of the uplifiting, if lesser-known, episodes of that terrible day when terrorists flew two passenger jets into the iconic Twin Towers—part of a multipronged attack on America A makeshift armada of about 150 commercial vessels of various types—tugboats, ferries, charter boats—would transport an estimated 500,000 people out of the disaster zone of lower Manhattan to safety in New Jersey and Brooklyn.
the free period also called allows you to avoid a finance
Answers
A free period, also known as a grace period, is a specific period of time during which a borrower is not required to make any payments on a loan or credit card balance.
Understanding the concept of a free period in finance
A free period, also known as a grace period, is a term commonly used in finance. It refers to a specific period of time during which a borrower is not required to make any payments on a loan or credit card balance. This period is typically granted by the lender as a courtesy to the borrower, allowing them some time to make the necessary arrangements to repay the debt.
During the free period, interest may still accrue on the outstanding balance, but no payments are due. It is important for borrowers to understand the terms and conditions of the free period, as it can vary depending on the type of loan or credit card agreement. It is also crucial to note that not all loans or credit cards offer a free period, so it is essential to read the terms and conditions carefully before entering into any financial agreement.
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According to the quantity theory of money, if the money supply is $40 billion, real output is $100 billion, and the price level is 1.2, what is the velocity of money
Answers
According to the quantity theory of money, the velocity of money is 3.
What is the quantity theory of money?The quantity theory of money is an economy theory that arose in the 16th century among monetary economists. The quantity theory of money postulates that the price of goods and services in an economy is directly proportional to the money supply and velocity.
Quantity theory of money = price x real output = money supply x velocity
Velocity = ( price x real output / money supply)
Velocity = (100 x 1.2) / 40 = 3
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in a sinking fund cash or cash assets are set aside for what purpose
Answers
In a sinking fund, cash or cash assets are set aside for the purpose of repaying a debt or financing a future obligation.
The sinking fund is a financial reserve that is specifically designated to ensure that there are sufficient funds available to meet a particular financial obligation at a future date. The idea behind a sinking fund is to provide a secure and predictable source of funding for a specific purpose, such as debt repayment or capital expenditures. By setting aside cash or other assets in a sinking fund, organizations and individuals can ensure that they have the necessary resources available to meet their financial obligations without resorting to borrowing or other forms of financing.
A sinking fund is a financial strategy where cash or cash assets are set aside for the purpose of repaying or reducing a company's debt, such as bonds or loans, or for the replacement of major assets over time. This ensures financial stability and reduces the risk of default on future obligations.
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A supervisory body, a source of public good, and an entity that reallocates income are all _____. roles of an entrepreneur roles of government things a government is not responsible for things an entrepreneur is responsible for
Answers
Answer:
roles of government
Explanation:
why make an app an then only allow two questions
Answers
Answer:i dont know
Explanation:
Drag each label to the correct location on the image. Not all tiles will be used.
How does a sick employee usually affect an employer or owner?
Answers
The ways that a sick employee usually affects an employer or owner are:
Reduces productivity Disrupts the work schedule Increases medical compensation costs How can a sick employee affect their employer ?When an employee is sick, the employer suffers because there will be reduced productivity in the office. This is because the employee might either not come in due to their being sick, or work really slowly if they do come in, for the same reason. As a result, productivity is lower.
Because productivity is lower, then the work schedule will be disrupted. For instance, if a certain deadline was to be met, it would become much more difficult to meet that deadline with the sick employee not being able to work as fast. The sick employee would then most probably have to go to a hospital or engage in some activity that would be paid for by medical insurance. Should this happen, then the employer will see their medical compensation costs rise as their insurance premiums rise.
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NEED HELP ASAP, WILL GIVE BRAINLIEST
Variable Costs are also known as
A. Cost of Goods Sold
B. Liabilities
C. Assets
D. Equity
Answers
Which statement is true about packaging materials? A. Metals are reactive. B. Metals are the cheapest form of packaging material. C. Glass containers protect materials from direct light. D. Plastics are biodegradable.
Answers
Answer:
c
Explanation:
glass containers protect materials from direct light, cause the light pass through glass before reflecting in the glass so that is to say the light is not directly on the materials
Should patriotism be considered a virtue?
Answers
Vail is one of the largest ski resorts in the united states. suppose that on october 1, 2024, vail sells gift cards (lift passes) for $103,000. the gift cards are redeemable for one day of skiing during the upcoming winter season. the gift cards expire on april 1, 2025. customers redeem gift cards of $20,300 in december, $30,300 in january, $25,300 in february, and $15,300 in march.
1. record the sale of gift cards on october 1, 2024.
2. record the redemption of gift cards as of december 31, 2024.
3.record the redemption of gift cards in 2025 by preparing a summary entry as of march 31, 2025.
4. record the expiration (breakage) of gift cards on april 1, 2025.
Answers
Debit gift cards will be converted to credit gift cards at the following dates: October 1, 2024, December 31, 2024, March 31, 2025, and April 1, 2025. Debit gift cards will be converted to credit gift cards at the following dates: 15,300$ on March 31 and 37,100$ on April 1.
What details are printed on gift cards?It doesn't have to be difficult, and your customers will notice it more readily if it is more transparent. We advise writing your address, email, website, or other contact details on the gift card's back. You want to be discoverable by others.
What are gift cards and how do they operate?An alternative method of payment is a gift card. It is also like a gesture of goodwill for the customers.
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Which is the preferred method of payment for making a hotel room reservation?
Answers
Brenda received a $15,000 college scholarship for the current year. She used the scholarship to pay the following fees: tuition $9,000, lab fees $60, parking fees $120, books $750, housing $4,000, and a meal plan $1,070. What can she exclude from gross income
Answers
Answer:
brenda income has gone because there is nothing money left
What is the purpose of the Visual Basic for Applications feature?
O It allows users to create and edit macros.
It allows users to create templates for letters.
It allows users to check for errors in applications.
It allows users to fix any misspelled words quickly.
Answers
Answer:
A
Explanation:
it allows users to create and edit macros edge 2021
Managers are accountable to some stakeholders whose interests they represent. These
stakeholders are:
Customers
Employees
Owners
Shareholders
Society
Government
1. Conduct a research to explain how is management responsible to EACH of these stakeholders. [18 marks]
pls help me
Answers
Answer:
see explanation
Explanation:
Stakeholder is anyone interest in the operation of a company or affected by the decision of the company.
Each stakeholder has its own interest and this is listed below :
Customers
They expect to receive value for money out of the firm products or services.
Employees
They are looking up to management for better remuneration for their manpower.
Owners
They seeking a maximum return from their investment in the company. Management run the company on their behalf as stewards.
Shareholders
They also seek maximum return from their investment in the company.
Society
The community expects the company to be a good corporate citizen and improve the social factors of employment, sustainability and environmental issues
Government
The government expects the company to be tax compliant and to pay its dues on time.
Mike Greenberg opened Clean Window Washing Inc. on July 1, 2014. During July, the following transactions were completed.
July 1 Issued 15,899 shares of common stock for $15,899 cash.
1 Purchased used truck for $11,899, paying $2,105 cash and the balance on account.
3 Purchased cleaning supplies for $937 on account.
5 Paid $2,160 cash on a 1-year insurance policy effective July 1.
12 Billed customers $4,880 for cleaning services.
18 Paid $1,028 cash on amount owed on truck and $540 on amount owed on cleaning supplies.
20 Paid $2,191 cash for employee salaries.
21 Collected $1,634 cash from customers billed on July 12.
25 Billed customers $2,532 for cleaning services.
31 Paid $373 for maintenance of the truck during month.
31 Declared and paid $618 cash dividend.
Journalize the July transactions.
Post to the ledger accounts.
Prepare a trial balance at July 31.
Journalize the following adjustments. (Credit account titles are automatically indented when the amount is entered. Do not indent manually.)
(1) Services performed but unbilled and uncollected at July 31 were $1,750.
(2) Depreciation on equipment for the month was $202.
(3) One-twelfth of the insurance expired.
(4) An inventory count shows $320 of cleaning supplies on hand at July 31.
(5) Accrued but unpaid employee salaries were $415.
Post adjusting entries to the T-accounts.
Cash
7/1
15,899
7/1
2,105
7/21
1,634
7/5
2,160
7/18
1,568
7/20
2,191
7/31
373
7/31
618
7/31 Bal.
8,518
Accounts Receivable
7/12
4,880
7/21
1,634
7/25
2,532
Supplies
7/3
937
Prepaid Insurance
7/5
2,160
Equipment
7/1
11,899
7/31 Bal.
11,899
Accumulated Depreciation-Equipment
Accounts Payable
7/18
1,568
7/1
9,794
7/3
937
7/31 Bal.
9,163
Salaries and Wages Payable
Common Stock
7/1
15,899
7/31 Bal.
15,899
Dividends
7/31
618
7/31 Bal.
618
Service Revenue
7/12
4,880
7/25
2,532
Maintenance and Repairs Expense
7/31
373
7/31 Bal.
373
Supplies Expense
Depreciation Expense
Insurance Expense
Salaries and Wages Expense
7/20
2,191
Problem 4-8A Mike Greenberg opened Clean Window WaPrepare an adjusted trial balance.
Problem 4-8A Mike Greenberg opened Clean Window WaPrepare the income statement for July.
Prepare a retained earnings statement for July. (List items that increase retained earnings first.)
Prepare a classified balance sheet at July 31. (List current assets in order of liquidity.)
Journalize closing entries. (Credit account titles are automatically indented when the amount is entered. Do not indent manually.)
Answers
Answer:
Explanation:
sir what is this, is this a question?
what political candidates, artists, ballplayers, etc do food truck owner use
Answers
Food truck owners may choose to use the names, images, or slogans of popular political candidates, artists, ballplayers, or other celebrities as part of their marketing strategy to attract customers.
what political candidates, artists, ballplayers, etc do food truck owner useFor example, a food truck owner might name a particular dish after a famous athlete, or use an image of a popular musician on their truck to create brand recognition. However, it's important to note that the use of such names, images, or slogans may be subject to trademark and copyright laws, and could potentially lead to legal issues if not used appropriately.
Additionally, some customers may have strong opinions or feelings about certain celebrities or political figures, and using their names or images could potentially alienate or offend certain segments of the population.
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list five types of data peloton might be collecting from its customers as they ride on a bike or use a treadmill.
Answers
Peloton may collect the following five types of data from its customers as they ride on a bike or use a treadmill:
1. Workout duration: The time spent by customers exercising on the equipment.
2. Distance covered: The total distance customers travel on the bike or treadmill.
3. Heart rate: The customer's heart rate as they exercise, is usually monitored through wearable devices.
4. Calories burned: The estimated number of calories burned during the workout session.
5. Performance metrics: Data such as speed, incline, and resistance levels used by customers during their workouts.
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A strategy for reducing risk by buying a variety of items so that the failure of one stock or one business does not doom the entire portfolio is known as _____.
Answers
Answer: Hi, I'm Jimin...
Korean: hanaui jusig-ina han sa-eob-ui silpaega jeonche poteupollioleul mangchiji anhdolog dayanghan pummog-eul gumaehayeo wiheom-eul jul-ineun jeonlyag-ibnida. ... o poteupollio jeonlyag-eun gieob-i gwanlyeon eobsneun dagaghwaleul tonghae wiheom-eul hwolssin deo jul-il su issdago yecheughabnida.
Explanation:
English: a strategy for reducing risk by buying a variety of items so that the failure of the one stock or one business does not doom the entire portfolio. ... o Portfolio strategy predicts that companies can reduce risk even more through unrelated diversification.
Franky believes that there should be no trade restrictions for any reason. What effect would frankly say that trade restrictions have on prices?
a. Hew would argue that by encouraging competition with trade restrictions, prices are likely to decrease
b. He would argue that restrictions would cause greater competition and therefore lead to higher prices
c. He would say that trade restriction's have no impact on prices, but they do restrict consumer choice
d. He would say that restrictions reduce competition and therefore cause an increase in prices
e. He would argue that trad restrictions increase prices because they break up domestic monopolies
Answers
Franky would argue that trade restrictions increase prices because they reduce competition.
Franky believes that there should be no trade restrictions for any reason. In this context, he would argue that trade restrictions have a negative effect on prices. According to Franky's viewpoint, trade restrictions reduce competition in the market, leading to higher prices. When there are restrictions on trade, such as tariffs or quotas, it limits the entry of foreign goods into the domestic market. This reduction in competition allows domestic producers to have more control over prices, resulting in higher prices for consumers.
Franky's argument is based on the belief that competition is beneficial for consumers as it encourages efficiency, innovation, and lower prices. By removing trade restrictions, Franky contends that it would promote competition by allowing more players to enter the market, leading to increased choices for consumers and ultimately driving prices down.
Overall, Franky's perspective is that trade restrictions have a negative impact on prices as they reduce competition, resulting in higher prices for consumers. He advocates for free trade as a means to promote competition and achieve lower prices in the market.
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What is the difference between irregulars and seconds?
Answers
Answer: Have minor flaws that are not noticeable. Seconds: Have noticeable flaws, such as holes
Explanation:
Sarah's dog had purebred puppies that she decided to sell on www.puppyfind.com. She ships them using an airline. If a puppy dies, to
whom is the carrier liable?
O It is liable to Sarah's enterprise, her sole proprietorship.
O It is liable to the third party, the buyer.
O It is liable to Sarah, the principal
O Both the first and second answers only.
Answers
If a puppy dies, then the airline carrier is liable. The transportation provider is in charge of providing accommodations for the animals while on a trip.
The airline carrier is liable for the puppy's death. Since the airline carrier did not maintain the proper temperature in the cargo space, which they were supposed to do, they are the ones who are responsible for the death of the puppy.
Sarah, as the seller, is not liable as she fulfilled her responsibility by selling a healthy puppy. The buyer is also not liable for the puppy's death as they were not responsible for the transportation of the puppy. Therefore, the airline carrier is the party responsible for the puppy's death.
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Probably the full options are:
The airline carrier is liable.The buyer is liable.Harry asked a professional at his school to help him in his search for an
academic major. Whose advice did Henry seek?
OA. A legal representative
O B. A networking assistant
O C. A therapist
D. A guidance counselor
Answers
Answer:
I think D is right answer
during the 1950s america experienced an economic boom with the average income:
Answers
During the 1950s, America experienced an economic boom, and the average income of individuals significantly increased.
The post-World War II period brought about a period of sustained economic growth and prosperity in the United States. This era, often referred to as the "Golden Age of Capitalism" or the "1950s Economic Expansion," witnessed a rise in employment rates, higher wages, and an expanding middle class. The average income during the 1950s varied depending on various factors such as occupation, education, and region.
However, it is important to note that the average income during this period was generally higher compared to previous decades. The booming economy led to increased consumer spending, fueled by advancements in technology, housing construction, and the rise of the automobile industry. The growth in industries and the expansion of manufacturing and services sectors contributed to the rise in average income and improved standards of living for many Americans.
Overall, the 1950s was a time of economic prosperity in America, characterized by increasing average incomes, job opportunities, and overall economic growth.
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Under the rule of 70, if the GDP per capita growth rate in the United States is 2.3%, standards of living double every:
Answers
Under the rule of 70, if the GDP per capita growth rate in the United States is 2.3%, standards of living double every 70/2.3 = 30.43 years.
What is Gross Domestic Product (GDP)?The term "Gross Domestic Product," or GDP, refers to the total monetary worth of all finished goods and services produced (and marketed) within a nation within a specific time period (typically 1 year).
GDP Growth Rate:
The GDP growth rate compares the most recent quarter or year to the preceding one and represents the percentage change in real GDP (GDP adjusted for inflation) from one period to the next. A positive or negative number may be used (negative growth rate, indicating economic contraction).GDP per capita:
By dividing nominal GDP by a nation's entire population, one can get GDP per capita.It conveys the nation's average economic output (or income) per person. The population figure corresponds to the year's median (or mid-year) population.The price deflator, a statistical tool, is used to convert nominal GDP to constant prices.
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THERE ARE TEN BUTTONS ON THE TABLE
Answers
Answer:
what
Explanation:
..............................cool................
Brainliest for the first answer that is correct in answer section not comments, also 40 POINTS!
A(n) _____ résumé is the most popular format. It places information in reverse order from most to least recent. Employers tend to prefer this format as it demonstrates a candidate's steady and upward career growth.
chronological
functional
combination
incremental
Answers
Answer:
chronological résumé is your correct answer
Explanation:
Select three reasons why the CMO in the chapter example wanted to revamp the marketing plan?
1. There is no use of Mayo
2. Peoples taste changed
3. Customers increasingly preferred organic
4. People don't care about calorie intake
5. Demand for chicken sandwiches varied widely
Answers
Answer:
B
C
E
Explanation:
The other options do not make sense so these are the right answers I think, lol
Reasons why the CMO in the chapter example wanted to revamp the marketing plan:
2. People's tastes changed
3. Customers increasingly preferred organic
5. Demand for chicken sandwiches varied widely
Chief medical officerChief medical officer (CMO) is the title used in many countries for the senior government official designated head of medical services, sometimes at the national level. The post is held by a physician who serves to advise and lead a team of medical experts on matters of public health importance.
What is the role of the chief medical officer?Chief medical officers are healthcare administrators who oversee the effective management of medical centers. They are responsible for managing clinical operations, liaising between the administration and medical staff, and ensuring that patients receive the highest standard of medical care.
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At a local grocery store, they sell a Visa card that has a prepaid amount on it. People can use this card anywhere, but it cannot be used for more than its prepaid value. Which type of card is this?
A.
a debit card
B.
a smart card
C.
a stored value card
D.
a retail credit card
Answers
The type of the card is a Retail Credit card. Hence the option (D) is the correct one.
What is the function of retail credit cards work?For retail credit cards, an image You can potentially obtain benefits at some retail establishments if you have a retail store credit card.
Decide if you want a card that restricts the retailers with which you may earn rewards or one that enables you to earn rewards for regular purchases. Benefits could consist of privileged access to funding, exclusive deals, discounts, and awards.
For instance, paying in whole for a motorcycle costing $10,000 would be excessive for a buyer.
Consumer will receive a $10,000 loan from retail credit institutions, which will be repaid with interest over a period of time in the form of monthly installments.
Hence the correct option is (D).
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