Investment advisers Study guides, Class notes & Summaries
Looking for the best study guides, study notes and summaries about Investment advisers? On this page you'll find 385 study documents about Investment advisers.
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IACCP Study Questions with Complete Solutions
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IACCP Study Questions with Complete Solutions 
4 elements of "investment advice" - Correct Answer 1. Advice about market trends 
2. Advice in historical or data form 
3. Advice about selecting an adviser 
4. Advice about the pros and cons of securities vs. other investments 
 
What is the RAUM threshold for Registered Advisers? - Correct Answer $150 million 
 
What is the RAUM range of a "Mid Sized adviser"? - Correct Answer $25-100 million 
 
What two factors determine whether mid size adv...
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IACCP Exam Questions With 100% Verified Answers 2023-2024
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IACCP Exam Questions With 100% Verified Answers 2023-2024. The Investment Advisers Act of 1940 defines the scope of the anti-fraud provisions 
as extending to: 
 
A. SEC-registered advisers and foreign advisers with a place of business in the U.S., 
whether registered or exempt. 
B. SEC-registered advisers and foreign advisers doing business in the U.S., whether 
registered or exempt. 
C. SEC-registered investment advisers. 
D. All investment advisers, whether registered or exempt. - Answer D. A...
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IACCP exam 2024 with 100% correct answers
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4 elements of "investment advice" - Answer 1. Advice about market trends 
2. Advice in historical or data form 
3. Advice about selecting an adviser 
4. Advice about the pros and cons of securities vs. other investments 
 
What is the RAUM threshold for Registered Advisers? - Answer $150 million 
 
What is the RAUM range of a "Mid Sized adviser"? - Answer $25-100 million 
 
What two factors determine whether mid size advisers are required to register? - Answer 1. Mid size advisers have to re...
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IACCP (QE) 2023 EXAM QUESTIONS WITH ALL CORRECT ANSWERS
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IACCP (QE) 2023 EXAM QUESTIONS WITH ALL CORRECT ANSWERS 
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 companie...
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IACCP (QE) Exam Questions with 100% Correct Answers
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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 Answer B. Persons or firms whose advice and re...
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IACCP Examination Already Solved And 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 - 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 
excepted from definition or exempt/prohibited from registration); AND $100M 
in AUM (optional for Mi...
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IACCP EXAM SAMPLE QUESTIONS WITH COMPLETE SOLUTION 2023/2024 | Graded A+
- Exam (elaborations) • 16 pages • 2023
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IACCP EXAM SAMPLE QUESTIONS WITH COMPLETE SOLUTION 2023/2024 | Graded A+. SEC-registered advisers that have proxy voting authority for clients must 
do which TWO of the following? (Choose two.) 
A. Adopt procedures to ensure proxies are voted in the best interest of 
clients. 
B. Disclose to clients information about the firm's proxy policies and procedures on Form ADV Part 2. 
C. Create a proxy voting committee to address conflict situations. 
D. Provide information to clients on how their pro...
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CAIA level 1 - Topic 2 Introduction to alts Exam Questions & Answers
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4 types of alternative assets - Answer Alternatives are defined by inclusion: 
Real Assets 
Hedge Funds 
Private Equity 
Structred products 
 
Real Assets - Answer Direct ownership of non financial assets: 
- natural resources 
- commodities 
- real estate 
- land 
- infrastructure 
- IP (intellectual property) 
 
5 Structures of Alternatives - Answer TRICS: 
- trading - marked by high skill & complex strategy (hedge fund) 
- regulatory - marked by lower government regulation and taxation ( 
- i...
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IACCP Final Exam Questions With Verified Answers Latest Updated 2024 (Graded A+)
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IACCP Final Exam Questions With Verified Answers Latest Updated 2024 (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 - 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 excepted 
from def...
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IACCP Examination Study Guide Questions and Answers 2023 Latest Updates
- Exam (elaborations) • 16 pages • 2023
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IACCP Examination Study Guide Questions and Answers 2023 Latest Updates 
"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 - ANSWERS-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...
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