The Investment Advisers Act of 1940 exempts certain entities and individuals from registration as an investment adviser.

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The Investment Advisers Act of 1940 exempts certain entities and individuals from registration as an investment adviser. Which of the following is not excluded?

A. Bank.

B. Bank holding company.

C. Bank holding company investment adviser.

D. A broker or dealer whose performance of advisory services is solely incidental.

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Essentials Of Personal Financial Planning

ISBN: 9781945498237

1st Edition

Authors: Susan M. Tillery, Thomas N. Tillery

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Question Posted: Apr 26, 2024 02:01 AM

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The Investment Advisers Act of 1940 exempts certain entities and individuals from registration as an investment adviser.

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The correct answer is C Bank holding company investment adviser The Investment Advisers A...View the full answer

Essentials Of Personal Financial Planning

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