Iaccp exam questions - Study guides, Class notes & Summaries

IACCP (QE) Exam Study Guide Questions with 100% Correct Answers | Latest Update 2024 | Verified

IACCP (MASTER TERMS) EXAM | QUESTIONS & 100% CORRECT ANSWERS (VERIFIED) | LATEST UPDATE | GRADEA+ Assignment Correct Answer: Any direct or indirect transfer or hypothecation of an investment advisory contract by the assignor Who is not an Investment Advisor? Correct Answer: 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, magazi...

IACCP (QE) Exam Study Guide | Questions with 100% Correct Answers | Latest Update 2024 | Verified

IACCP EXAM | QUESTIONS & 100% CORRECT ANSWERS (VERIFIED) | LATEST UPDATE | GRADEA+ 4 elements of "investment advice" Correct 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 for Registered Advisers? Correct Answer: $150 million What is the RAUM range of a "Mid Sized adviser"? Correct Answer: $25-100 million What two fac...

IACCP EXAM QUESTIONS WITH CORRECT ANSWERS (2023 ) Section 17(a)(2) Exchange Act - CORRECT ANSWERS Prohibits any untrue statements of material fact or material omissions in the offer or sale of securities Section 17(a)(3) Exchange Act - CORRECT ANSWERS Prohibits engaging in a course of business which operates as a fraud or deceit in the offer or sale of securities Section 17d - CORRECT ANSWERS Basically no affiliate of an...

IACCP (QE) Exam | Questions and Correct Answers | Latest Update 2024/2025 | 100% PASS 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. Domest...

IACCP EXAM QUESTIONS AND ANSWERS (2023) (VERIFIED ANSWERS BY EXPERT)

IACCP-Exam QA 2023 Questions and ANSWERS 100% Correct Answers 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 for Registered Advisers? - ANSWER $150 million What is the RAUM range of a "Mid Sized adviser"? - ANSWER $25-100 million

IACCP Exam Sample Questions With 100% Verified Answers 2023-2024. Which situation would trigger a violation of the SEC Pay-to-Play Rule? A. An individual who has become a covered associate within the last three months makes a $1,000 contribution to an elected official, whom the individual is also soliciting as an advisory client. B. An investment adviser makes a contribution of $50.00 to a government elected official responsible for selecting investment advisers. C. An investment adviser...