IACCP
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IACCP - General Questions and Answers with complete solution / 100% solved
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1.	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.	Domestic banks and bank holding companies.: B. Persons or firms whose advice and reports are r...
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IACCP (QE) 2023 – Solved with complete solutions
- Exam (elaborations) • 15 pages • 2023
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1.	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.	Domestic banks and bank holding companies.: B. Persons or firms whose advice and reports are r...
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IACCP (QE) 2023 – Solved with complete solutions
- Exam (elaborations) • 15 pages • 2023
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Available in package deal
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1.	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.	Domestic banks and bank holding companies.: B. Persons or firms whose advice and reports are r...
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IACCP AML QUESTIONS WITH COMPLETE SOLUTIONS
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money laundering definition Correct Answer: criminal activity that occurs when money from illegal activity is moved through the financial system to make to appear legit 
 
OFAC Correct Answer: OFAC oversees the enforcement of federally mandated economic sanctions against certain foreign governments, financial institutions, and the SDN List. 
 
SDN List Correct Answer: individuals &various entities that are targets of sanctions either due to drug trafficking, terrorism, or other illegal activi...
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IACCP 2 General Advisors Act QUESTIONS WITH COMPLETE SOLUTIONS
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Investment Adviser Correct Answer: Person or entity that is in the business of providing investment advice about securities 
 
Fiduciary Correct Answer: an investment adviser owes its clients undivided loyalty and may not engage in activity that conflicts with a client's interest without the client's consent 
 
Who is required to register with the SEC? Correct Answer: 1) an investment advisor under Section 202(a)(11) of the Advisors Act 2) Not excepted from the IA definition 3) Not exempt f...
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IACCP EXAM| 56 QUESTIONS| WITH COMPLETE SOLUTION
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Section 17(a)(2) Exchange Act Correct Answer: Prohibits any untrue statements of material fact or material omissions in the offer or sale of securities 
 
Section 17(a)(3) Exchange Act Correct Answer: Prohibits engaging in a course of business which operates as a fraud or deceit in the offer or sale of securities 
 
Section 17d Correct Answer: Basically no affiliate of an affiliate of a RIC can sell any stock to the company 
 
Section 17d-1 Correct Answer: Applications regarding joint enterp...
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IACCP STUDY GUIDE QUESTIONS WITH ANSWERS| VERIFIED
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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 factors determine whether mid size advisers are required to register? Correct Answer: ...
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IACCP Examination Study Guide | 100 Questions | 100% Correct Answers
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"Investment Adviser" person/firm compensated for engaging in business of (directly or 
indirectly) advising others on securities or the advisability of investing (or) who issues 
analysis/reports concerning securities - SEC vs Capital Gains Research Bureau 
basis of Fiduciary Rule, specifically Best Interest 
SEC Registration Required when 1) definition of "IA" is met (unless otherwise excepted 
from definition or exempt/prohibited from registration); AND $100M in AUM (optional for 
Mid-Size...
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IACCP Master Questions Bank | 170 Questions | 40 Pages | 100% Correct Answers
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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 on a pro rata basis 
D. Based on the trader's good faith discretion - B. On a pro rata basis but other 
allocation methods can be used without violating the Advisers Act 
Which of the following should NOT be a factor when evaluating best execution? 
A. Pric...
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IACCP (QE) Practice Test | 55 Questions | 100% Correct Answers
- Exam (elaborations) • 13 pages • 2022
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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. Domestic banks and bank holding companies. - B. Persons or firms whose 
advice and reports are re...
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