Iaccp general questions Study guides, Class notes & Summaries
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IACCP EXAM SAMPLE QUESTIONS WITH COMPLETE SOLUTION 2023/2024 | Graded A+
- Exam (elaborations) • 16 pages • 2023
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IACCP EXAM SAMPLE QUESTIONS WITH COMPLETE SOLUTION 2023/2024 | Graded A+. SEC-registered advisers that have proxy voting authority for clients must 
do which TWO of the following? (Choose two.) 
A. Adopt procedures to ensure proxies are voted in the best interest of 
clients. 
B. Disclose to clients information about the firm's proxy policies and procedures on Form ADV Part 2. 
C. Create a proxy voting committee to address conflict situations. 
D. Provide information to clients on how their pro...
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IACCP Exam Questions With 100% Verified Answers 2023-2024
- Exam (elaborations) • 14 pages • 2023
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IACCP Exam Questions With 100% Verified Answers 2023-2024. The Investment Advisers Act of 1940 defines the scope of the anti-fraud provisions 
as extending to: 
 
A. SEC-registered advisers and foreign advisers with a place of business in the U.S., 
whether registered or exempt. 
B. SEC-registered advisers and foreign advisers doing business in the U.S., whether 
registered or exempt. 
C. SEC-registered investment advisers. 
D. All investment advisers, whether registered or exempt. - Answer D. A...
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IACCP (QE) QUESTIONS WITH CORRECT ANSWERS, GRADED A+
- Exam (elaborations) • 13 pages • 2024
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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 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. ...
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IACCP QUESTIONS AND ANSWERS FULLY SOLVED 2024
- Exam (elaborations) • 4 pages • 2024
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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 Registered Advisers? 
$150 million 
 
 
 
 
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IACCP (QE) EXAM QUESTIONS WITH 100% Verified Answers 2023/2024
- Exam (elaborations) • 16 pages • 2023
- Available in package deal
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IACCP (QE) EXAM QUESTIONS WITH 100% Verified Answers 2023/2024. The Investment Advisers Act of 1940 defines the scope of the anti-fraud 
provisions as extending to: 
A. SEC-registered advisers and foreign advisers with a place of business in 
the U.S., whether registered or exempt. 
B. SEC-registered advisers and foreign advisers doing business in the U.S., 
whether registered or exempt. 
C. SEC-registered investment advisers. 
D. All investment advisers, whether registered or exempt.: D. All in...
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IACCP Master Question Bank | Questions With Correct Answers 2023-2024 | 100% Verified
- Exam (elaborations) • 40 pages • 2023
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IACCP Master Question Bank | Questions With Correct Answers 2023-2024 | 100% Verified. 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 - Answer B. On a pro rata basis but 
other allocation methods can be used without violating the Advise...
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IACCP Master Questions Bank with Answers 100% solved Rated A+.
- Exam (elaborations) • 41 pages • 2023
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IACCP Master Questions Bank with Answers 100% solved Rated A+. 
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 – 
Which of the following should NOT be a factor when evaluating best execution? 
A. Price 
B. Transaction costs 
C. Availa...
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IACCP (QE) EXAM QUESTIONS WITH COMPLETE SOLUTION 2023/2024 | 100% Verified
- Exam (elaborations) • 16 pages • 2023
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Available in package deal
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- $18.49
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IACCP (QE) EXAM QUESTIONS WITH COMPLETE SOLUTION 2023/2024 | 100% Verified. 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 ...
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IACCP 2 General Advisors Act QUESTIONS WITH COMPLETE SOLUTIONS
- Exam (elaborations) • 5 pages • 2024
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Commodity Trading advisors 
Family Offices 
 
Intrastate advisor ANSWER-An advisor whose clients are within the same state as the adviser’s principal business office AND that does not provide advice or issue reports about securities listed on any national exchange 
 
What is the registration AUM threshold for private fund advisors? ANSWER-$150 million 
 
Private Fund Advisor ANSWER-1) All clients that are US persons are Qualifying Private funds and 2) all assets it manages at any place of ...
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IACCP Master Questions Bank with Answers 100% solved Rated A+
- Exam (elaborations) • 40 pages • 2023
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IACCP Master Questions Bank with Answers 100% solved Rated A+IACCP Master Questions Bank with Answers 100% solved Rated A+ 
Contains marking scheme 
 
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 – 
Which of the following should ...
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