Iaccp qe 2023 Study guides, Class notes & Summaries

IACCP (QE) EXAM 2023 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. - ANSWER-B. Persons or firms w...

IACCP (QE) IACCP Questions And Answers 2023

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 answer-B. Persons or firms whose advice and...

1. 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.: B. Persons or firms whose advice and reports are r...

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. B. Persons or firms whose advice and reports are rela...

non-securities advice includes advice on topics that include ___ and budgetary planning, ____ ____and business planning. - Answer- tax, estate planning Dodd-Frank change in AUM threshold says that ___ million is needed in order to register with the SEC - Answer- 100 Full payment for Renewal Statement must be posted to your firm's Renewal Account by _______ of every year. - Answer- December 13th What is the goal of the IARD system? - Answer- efficient automated filing system Annual u...