As used in the clov - Study guides, Class notes & Summaries

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IACCP (QE) STUDY GUIDE 2023.
Exam (elaborations) • 13 pages • 2023
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IACCP (QE) STUDY GUIDE 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 fir...

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