Investment advisers Study guides, Class notes & Summaries
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IACCP Master Questions Bank | 170 Questions and 100%Correct Answers Latest Update 2024.
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IACCP Master Questions Bank | 170 Questions and 100%Correct Answers Latest Update 2024. 
The SMC Capital, Inc. No-Action Letter (September 5, 1995) states that trade 
allocations may occur: 
A. Only on a rotational basis 
B. On a pro rata basis but other allocation methods can be used without violating 
the Advisers Act 
C. Only on a pro rata basis 
D. Based on the trader's good faith discretion Correct Answer: B. On a pro rata 
basis but other allocation methods can be used without violating t...
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IACCP Master Questions Bank | 170 Questions and 100%Correct Answers Latest Update 2024.
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IACCP Master Questions Bank | 170 Questions and 100%Correct Answers Latest Update 2024. 
The SMC Capital, Inc. No-Action Letter (September 5, 1995) states that trade 
allocations may occur: 
A. Only on a rotational basis 
B. On a pro rata basis but other allocation methods can be used without violating 
the Advisers Act 
C. Only on a pro rata basis 
D. Based on the trader's good faith discretion Correct Answer: B. On a pro rata 
basis but other allocation methods can be used without violating t...
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IACCP EXAM | QUESTIONS & 100% CORRECT ANSWERS (VERIFIED) | LATEST UPDATE | GRADEA+
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IACCP EXAM | QUESTIONS & 100% 
CORRECT ANSWERS (VERIFIED) | LATEST 
UPDATE | GRADEA+ 
"Investment Adviser" person/firm compensated for engaging in business of (directly or 
indirectly) advising others on securities or the advisability of investing (or) who issues 
analysis/reports concerning securities 
Correct Answer: SEC vs Capital Gains Research Bureau basis of Fiduciary Rule, 
specifically Best Interest 
SEC Registration Required when 1) definition of "IA" is met (unless otherwise ...
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IACCP (QE) 2023-2024 QUESTIONS WITH VERIFIED SOLUTIONS GRADED A+
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Which THREE persons or firms may be excluded from having to register under 
the Investment Advisers Act of 1940? (Choose three.) 
A. Accountants whose advisory services pertain solely to incidental financial 
planning. 
B. Persons or firms whose advice and reports are related solely to U.S. 
government securities. 
C. Publishers of generally circulated, bona fide newspapers or financial journals. 
D. Domestic banks and bank holding companies. - CORRECT ANS B. 
Persons or firms whose advice a...
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IACCP EXAMINATION 2023-2024 QUESTIONS WITH VERIFIED SOLUTIONS GRADED A+
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"Investment Adviser" person/firm compensated for engaging in business of 
(directly or indirectly) advising others on securities or the advisability of investing 
(or) who issues analysis/reports concerning securities - CORRECT ANS SEC 
vs Capital Gains Research Bureau basis of Fiduciary Rule, specifically Best 
Interest 
SEC Registration Required when 1) definition of "IA" is met (unless otherwise 
excepted from definition or exempt/prohibited from registration); AND $100M in 
AUM (op...
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IACCP (QE) 2023-2024 QUESTIONS WITH VERIFIED SOLUTIONS GRADED A+
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Which THREE persons or firms may be excluded from having to register under the Investment Advisers Act of 1940? (Choose three.) 
 
A. Accountants whose advisory services pertain solely to incidental financial planning. 
B. Persons or firms whose advice and reports are related solely to U.S. government securities. 
C. Publishers of generally circulated, bona fide newspapers or financial journals. 
D. Domestic banks and bank holding companies. - CORRECT ANS B. Persons or firms whose advice ...
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CFP Practice Questions - Fundamentals
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CFP Practice Questions - Fundamentals 
 
As a rule of thumb, it is best if consumer debt does not exceed: 
 
A. 20% of net income. 
B. 20% of gross income. 
C. 3 to 6 months of expenses. 
D. 36% of gross monthly income. - A. 20% of net income 
 
This is a rule of thumb, along with the others that recommend housing debt be limited to 28% of 
gross income, and total debt not to exceed 36% of gross income. 
 
David has won the Illinois state lottery. He must decide whether to receive annual payment...
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Series 79 questions with verified solution 2024
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Series 79 
10-Ks - correct answer Non-accelerated filers: 90 days 
 
Accelerated filers: 75 days 
 
Large accelerated filers: 60 days 
 
10-Qs - correct answer Non-accelerated filers: 45 days 
 
Accelerated filers: 40 days 
 
Large accelerated filers: 40 days 
 
8-K - correct answer Must be filed WITHIN 4 BUSINESS DAYS after triggering event 
 
Schedule 13-D (D comes before G) - correct answer A person, or a group of persons acting together, who directly or indirectly acquires beneficial ownersh...
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IACCP Examination Questions and Answers Graded A+
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IACCP Examination Questions and Answers Graded A+ 
"Investment Adviser" person/firm compensated for engaging in business of (directly or indirectly) advising others on securities or the advisability of investing (or) who issues analysis/reports concerning securities 
SEC vs Capital Gains Research Bureau basis of Fiduciary Rule, specifically Best Interest 
 
 
 
SEC Registration Required when 1) definition of "IA" is met (unless otherwise excepted from definition or exempt/prohibited from reg...
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IACCP Master Questions Bank with Answers 100% solved Rated A+
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IACCP Master Questions Bank with Answers 100% solved Rated A+IACCP Master Questions Bank with Answers 100% solved Rated A+ 
Contains marking scheme 
 
The SMC Capital, Inc. No-Action Letter (September 5, 1995) states that trade allocations may occur: 
A. Only on a rotational basis 
B. On a pro rata basis but other allocation methods can be used without violating the Advisers Act 
C. Only on a pro rata basis 
D. Based on the trader's good faith discretion – 
Which of the following should ...
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