Iaccp 2023 exam - Study guides, Class notes & Summaries

IACCP (MASTER TERMS) NRS IACCP Exam 2023 ( A+ GRADED 100% VERIFIED)

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

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...

IACCP MASTER QBANK EXAM QUESTIONS AND ANSWERS (2023) (VERIFIED ANSWERS BY EXPERT)

IACCP Exam Questions with Verified Answers 2023-2024 | Latest Graded A+ 2023-2024. "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 d...

IACCP Exam Sample Questions with Verified Answers 2023-2024 Graded A+. Investment Advisers are generally required to register in the state where they have a principal place of business and any states where they maintain de minimus (5 or more clients in that state with the exception of LA, NE, NH & TX which have their own de minimus) - Answer- When is State Adviser Registration generally required? The following are deemed a SINGLE CLIENT 1) a natural person, and: (i) any minor child; (ii) a...

IACCP Exam Questions With Answers 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 bank holding com...