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IACCP 2 GENERAL ADVISOR ACT WITH COMPLETE SOLUTIONS 2023 Investment Adviser - Person or entity that is in the business of providing investment advice about securities Fiduciary - an investment adviser owes its clients undivided loyalty and may not engage in activity that conflicts with a client's interest without the client's consent Who is required to register with the SEC? - 1) an investment advisor under Section 202(a)(11) of the Advisors Act 2) Not excepted from the IA definition 3)...

IACCP-NRS EXAM (MASTER QBANK) WITH VERIFIED ANSWERS 2023-2024 Assignment - Any direct or indirect transfer or hypothecation of an investment advisory contract by the assignor Who is not an Investment Advisor? - A Bank, Lawyer, accountant, engineer, teach whose performance of such services is solely incidental to the practice of his profession, Broker-dealer (commission only)published of any bona fide newspaper, magazine, business publication, rating systems (Moody’s, etc.) What does it ...

IACCP STUDY GUIDE QUESTIONS AND ANSWERS 2023 4 elements of "investment advice" - 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? - $150 million What is the RAUM range of a "Mid-Sized adviser"? - $25-100 million What two factors determine whether mid-size advisers are required to register? - 1. Mid-size ...

IACCP EXAMS QUESTIONS 2023-2024 WITH COMPLETE SOLUTIONS SEC vs Capital Gains Research Bureau basis of Fiduciary Rule, specifically Best Interest - "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 Registration Optional when 1) AUM $25-100M (except NY req. at $25M) - OR - 2) Advisers Registered in 15 or more States (A...

IACCP (QE) EXAM QUESTIONS WITH VERIFIED CORRECT 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 co...

IACCP MASTER BANK QUESTION AND ANSWERS 2023-2024 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 - B. On a pro rata basis but other allocation methods can be used without violating the Advisers Act Which of the following should N...

U-WORLD 13 MENTAL HEALTH QUESTIONS AND ANSWERS GRADED A+ The emergency department nurse cares for a client whose college roommate reports recent changes in the client's behaviour. Which behaviours and clinical data meet the criteria for involuntary admission to the mental health unit? Select all that apply. 1. Client has been sleeping on the floor in the den rather than the bed 2. Client has refused food and water for 4 days and has poor skin turgor 3. Client repeatedly mumbles, "I must...

U-WORLD MENTAL HEALTH QUESTIONS AND VERIFIED ANSWERS 2023-2024 The clinic nurse reinforces education about intimate partner violence for a group of graduate nurses. Which of the following are appropriate for the nurse to include? Select all that apply. 1. Intimate partner violence is most common in low-income families 2. Intimate partner violence is rare in same-sex partnerships 3. The abusive partner often demonstrates jealousy and possessiveness. 4. Victims may not leave due to fina...

U-WORLD MENTAL HEALTH QUESTION AND ANSWERS 2023-2024 WITH COMPLETE SOLUTIONS A nurse is admitting a child and observes multiple irregular bruises. Which action should the nurse take next? 1. Ask parents to leave the room during the admission process 2. Continue with a detailed interview and physical examination 3. Notify the charge nurse and the social worker 4. Promise not to tell anyone if the child reveals abuse - 2 A nurse who suspects child abuse should conduct a detailed interv...

SAFE SCRUM MASTER STUDY GUIDE 5.0 2023-2024 LATEST SOLUTION Agile frameworks - safe Scrum Crystal Kanban extreme Programming (XP) Feature-driven development What does a Scrum Master do? - - Servant leaders and coaches for an Agile Team. - Help educate team in Scrum, XP, Kanban and SAFe, ensuring the agreed Agile process is being followed. - Help remove impediments and foster an environment for high-performing team dynamics, continuous flow and relentless improvement. - Facilitate...