Exam (elaborations)
Investment Advisers Act of 1940 Exam Questions With Correct Answers
- Course
- Institution
Investment Advisers Act of 1940 Exam Questions With Correct Answers 15%) ***Invest Advisers Act of 1940: main thrust was to register advisers to mutual funds w/ SEC and limit their compensation - ANSWER o securities Act of 1933 / primary mkt o securities exchange act of 1934 / second...
[Show more]