An adviser is - Study guides, Class notes & Summaries

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 advisers are required to register? - Answer 1. Mid size advisers have to re...

According to the Securities Exchange Act of 1934, which of the following is NOT required to be included on the confirmation for a bond trade? - Disclosure of the bond's rating Although a bond's rating is not required to be included on a confirmation, if the bond is unrated, this fact must be disclosed. A bond's price and its yield-to-maturity at the time of the trade must be disclosed on a confirmation. A registered investment adviser is normally required to post a surety bond to satisfy...

This document contains workings, explanations and solutions to the ENG1514 Assignment 2 (QUALITY ANSWERS) 2024. For assistance call or us on 0.6.8..8.1.2..0.9.3.4....PART 1: Knowledge-based Questions 1 ‘Attending/Attention’ is one of the six stages in the listening process. In your own words, list three things you would do during this listening process. 3 Marks 2 Mention three purposes for listening. 3 Marks 3 In four sentences, explain in your own words four features that distinguis...

Test Bank for Principles of Economics Arab World, 4th Edition by Gregory Mankiw, Mohamed H. Rashwan Full Chapters test bank included Part 1: Introduction Chapter 1: Ten Principles of Economics How People Make Decisions How People Interact How the Economy Works as a Whole Conclusion Chapter 2: Thinking Like an Economist The Economist as Scientist The Economist as Policy Adviser Why Economists Disagree Let's Get Going Appendix: Graphing: A Brief Review Chapter 3: Interdependence...

MCL5903 PORTFOLIO 2024 (DETAILED ANSWERS) - DUE 19 January 2024 100% TRUSTED workings, explanations and solutions. For assistance call or W.h.a.t.s.a.p.p us on +/ 2/ 5/ 4 /7 /7 /9 /5 /4 /0 /1 /3 /2 . Question 1 (20 marks) Best Bank Ltd institutes an application for winding-up of Getaway Trucking (Pty) Ltd (‘Getaway’). The winding-up application is based upon a ‘without prejudice’ letter of reply from Getaway to a letter of demand by Best Bank Ltd. In terms of the letter of demand, Best ...

Personal Finance, 6e (Madura) Chapter 1 Overview of a Financial Plan 1.1 How You Benefit from Personal Finance 1) Most Americans will never be able to understand and develop a personal financial plan. Answer: FALSE Diff: 1 Question Status: Previous edition 2) The simple objective of financial planning is to make the best use of your resources to achieve your financial goals. Answer: TRUE Diff: 2 Question Status: Previous edition 3) An understanding of personal finan...

ENG1514 Assignment 2 (DETAILED ANSWERS) 2024 - DISTINCTION GUARANTEED Answers, guidelines, workings and references .................... PART 1: Knowledge-based Questions 1 ‘Attending/Attention’ is one of the six stages in the listening process. In your own words, list three things you would do during this listening process. 3 Marks 2 Mention three purposes for listening. 3 Marks 3 In four sentences, explain in your own words four features that distinguish discriminative listening fro...

This document contains workings, explanations and solutions to the ENG1514 Assignment 2 (QUALITY ANSWERS) 2024. For assistance call or us on 0.6.8..8.1.2..0.9.3.4..... PART 1: Knowledge-based Questions 1 ‘Attending/Attention’ is one of the six stages in the listening process. In your own words, list three things you would do during this listening process. 3 Marks 2 Mention three purposes for listening. 3 Marks 3 In four sentences, explain in your own words four features that distingu...

ECS1601 Assignment 7 (DETAILED ANSWERS) Semester 2 2024 - DISTINCTION GUARANTEED - DISTINCTION GUARANTEED - DISTINCTION GUARANTEED Answers, guidelines, workings and references ,... Question 1 (5 marks) Maximum word count: 100 words 1.1 Suppose you live in South Africa and have the option to buy proudly South African products or international brands. With reference to the circular flow of goods and services and the circular flow of income and spending between households, firms, government and the...

VADETS Module 12 quiz with complete solutions When buying a vehicle you should do your research? True After buying a vehicle, you must ________________________ with the Department of Motor Vehicles? Title and register the vehicle When buying a vehicle, for new cars,_________________( month) has the highest discounts off MSRP (Manufacturer Suggested Retail Price) also known as "sticker" price). December : For new cars, December has the highest discounts off MSRP. Some vehicles aren't as exp...