IACCP EXAM BUNDLE SET 2024

IACCP QUESTIONS AND ANSWERS FULLY SOLVED 2024 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 R...

IACCP (QE) QUESTIONS WITH CORRECT ANSWERS, GRADED A+ 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 ...

IACCP Master Bank Questions and Answers Latest Updated 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...

IACCP (MASTER TERMS) QUESTIONS AND ANSWERS 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 incident...

IACCP 2 QUESTIONS AND ANSWERS RATED A+ 2024 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...

IACCP QUESTIONS AND ANSWERS GRADED A+ Section 17(a)(2) Exchange Act Prohibits any untrue statements of material fact or material omissions in the offer or sale of securities Section 17(a)(3) Exchange Act Prohibits engaging in a course of business which operates as a fraud or deceit in the...

IACCP Jan 2024 write-in (QE) Questions and Answers latest updated non-securities advice includes advice on topics that include ___ and budgetary planning, ____ ____and business planning. tax, estate planning Dodd-Frank change in AUM threshold says that ___ million is needed in order to regi...

IACCP QUESTIONS WITH CORRECT ANSWERS 2024 money laundering definition criminal activity that occurs when money from illegal activity is moved through the financial system to make to appear legit OFAC OFAC oversees the enforcement of federally mandated economic sanctions against certain for...

IA Act of 2024-Section 203 Questions and Answers Rated A+ Who must register with the SEC? 3 elements provide Basis for registration: in the 1)business of providing 2) investment advice 3)for compensation Exempt Reporting Advisers Advisers to VC Funds Private Fund Advisers with <$150mm ...

Cross-Cultural Psychology Exam 1 (Ch. 1-4) Questions and Answers Graded A+ What is culture? Creating tradition, rituals, identifying with a race or community based on your ancestors and the people you are around. Dynamic groups of individuals that share a similar context, are exposed to many si...

International psychology Questions and Answers Graded A+ Stevens and Wedding (2004) define international psychology in terms of its mission and the domain of scientific knowledge it subsumes. This includes all of the following except a. to promote communication and collaboration among psychologist...