Which of the following must be accomplished in order to register as an investment adviser with the
Question:
Which of the following must be accomplished in order to register as an investment adviser with the SEC?
I. File with FINRA.
II. File with the state department of insurance.
III. File Form ADV Part I.
IV. File Form ADV Part II.
A. I, II.
B. II, III.
C. III, IV.
D. I, III.
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The correct answer is C III IV To register as an investment adviser with the Securities and Exchange ...View the full answer
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Related Book For 
Essentials Of Personal Financial Planning
ISBN: 9781945498237
1st Edition
Authors: Susan M. Tillery, Thomas N. Tillery
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