IACCP Exam Bundle with Complete Questions and Answers Graded A+

IACCP (QE) 2023 Rated 100% Correct 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 repor...

IACCP Master QBank with Complete Questions and Answers 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. Onl...

IACCP Exam Questions and Answers 100% Correct 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...

IACCP Exam 2023 Rated 100% Accurate!! money laundering definition - ANSWER criminal activity that occurs when money from illegal activity is moved through the financial system to make to appear legit OFAC - ANSWER OFAC oversees the enforcement of federally mandated economic sanctions against c...

IACCP 2 (General Advisors Act) 2023 Q Questions and Answers Investment Adviser - ANSWER Person or entity that is in the business of providing investment advice about securities Fiduciary - ANSWER an investment adviser owes its clients undivided loyalty and may not engage in activity that conf...

NRS IACCP Exam; IACCP (MASTER TERMS) with Complete Solutions Assignment - ANSWER Any direct or indirect transfer or hypothecation of an investment advisory contract by the assignor Who is not an Investment Advisor? - ANSWER A Bank, Lawyer, accountant, engineer, teach whose performance of su...