Iaccp exam answers - Study guides, Class notes & Summaries

IACCP Exam Questions with Correct Answers Latest 2023- 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 a...

IACCP Jan 2013 write-in Exam Questions & Answers non-securities advice includes advice on topics that include ___ and budgetary planning, ____ ____and business planning. - ANSWER-tax, estate planning Dodd-Frank change in AUM threshold says that ___ million is needed in order to register with the SEC - ANSWER-100 Full payment for Renewal Statement must be posted to your firm's Renewal Account by _______ of every year. - ANSWER-December 13th What is the goal of the IARD system? - AN...

IACCP Exam Questions with 100% Verified Answers Latest 2023/2024. Define small adviser - Answer- Advisers with $25 million or less in assets under management 3 reasons for small advisers to register with SEC - Answer- 1. principal state does not require registration 2. state does not require any type of exam IARD Account - Answer- All states that require registration of IAR's (RA's on CRD) which can be done in a IARD account When is the deadline to amend form ADV? - Answer- All firms t...

IACCP (QE) IACCP Exam Questions And Answers!!

IACCP (QE) 2023 EXAM QUESTIONS WITH ALL CORRECT ANSWERS 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 compani...

non-securities advice includes advice on topics that include ___ and budgetary planning, ____ ____and business planning. Answer - tax, estate planning Dodd-Frank change in AUM threshold says that ___ million is needed in order to register with the SEC Answer - 100 Full payment for Renewal Statement must be posted to your firm's Renewal Account by _______ of every year. Answer - December 13th What is the goal of the IARD system? Answer - efficient automated filing system Annual updat...

IACCP (QE) 2023 EXAM QUESTIONS WITH ALL CORRECT ANSWERS 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 companie...