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Investment Adviser Firms or Professionals
Which of the following would be considered an investment adviser under the Uniform Securities Act?Terms in this set (79) Which of the following choices would be considered an investment adviser? ACE Investments is a registered investment adviser.
Which of the following entities would be required to register as an investment adviser?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.
Which of the following must be registered with the SEC as an investment adviser under the investment Advisers Act of 1940?The investment adviser (the firm) must be registered with the SEC if it has $100,000,000 or more of assets under management (a federal covered adviser). If the firm has less than $100,000,000 of assets under management, then it only is required to register with the State.
Which of the following are defined as persons under the Uniform Securities Act?The definition of a "person" under the Act includes individuals; joint stock companies; unincorporated organizations; and trusts where the interests of the beneficiaries are evidenced by a security.
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