RegistrationPregunta 11 de 100
A state-registered investment adviser maintains custody of client funds and securities. Regarding financial requirements, the Administrator may:
a.Require a minimum net worth and a surety bond, though an adviser that meets the state's net worth standard may be excused from posting the bond
b.Require a surety bond but never a minimum net worth
c.Require nothing, because financial requirements are set exclusively by federal law
d.Require the adviser to insure client accounts against market losses
Explicación
The act authorizes the Administrator to establish minimum net capital or net worth standards for broker-dealers and advisers and to require surety bonds, particularly where the firm has custody or discretionary authority. States commonly allow an adviser that satisfies the net worth requirement to deposit cash or securities in lieu of the bond or to be excused from it. No state may require a firm to guarantee client accounts against market loss.
Referencia Legal: Uniform Securities ActPractica las 100 preguntas gratis — sin registro.
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