Iaccp exam answers - Study guides, Class notes & Summaries

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

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IACCP MASTER QBANK EXAM | QUESTIONS & 100% CORRECT ANSWERS (VERIFIED) | LATEST UPDATE | GRADEA+ 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 Correct Answer: B. On a pro rata basis but other allocation methods can be used ...

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...

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IACCP Exam With Correct Questions And Answers 2024

IACCP Final Exam Questions With Verified Answers Latest Updated 2024 (Graded A+) "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 - Answer- 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 def...

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IACCP Exam Questions With Correct Answers Latest Updated 2024 (100% Verified) 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 for Registered Advisers? - Answer- $150 million What is the RAUM range of a "Mid Sized adviser"? - Answer- $25-100 million What two factors determine whether mid size ...