Laws & RegulationsPregunta 92 de 110
An adviser who wishes to use client testimonials or advertisements must comply with rules that primarily require which of the following?
a.Guaranteeing the results shown in the advertisement
b.Hiding any compensation paid for endorsements
c.Presenting only the best-performing accounts
d.Fair and balanced presentation with required disclosures, avoiding misleading claims
Explicación
Advertising and testimonial rules require advisers to present information in a fair and balanced manner, disclose material facts such as compensation paid for endorsements, and avoid false or misleading statements. Cherry-picking only top accounts or hiding paid endorsements would be misleading. Guaranteeing results is prohibited.
Referencia Legal: Investment Advisers Act of 1940Practica las 110 preguntas gratis — sin registro.
Preguntas relacionadas de este tema
- An adviser wishing to enter into an agency cross transaction (acting as broker for both sides) must generally do which of the following?
- Under the Uniform Securities Act, the antifraud provisions apply to which persons?
- Which activity constitutes a prohibited misuse of material nonpublic information?
- Under the Uniform Securities Act, how long must an investment adviser generally retain required books and records?
- An investment adviser representative who moves to a new advisory firm must generally do which of the following?
- An investment adviser exercising discretionary authority over a client account must generally obtain what?
Última revisión: · proceso editorial
Equipo Editorial de PrepPass · Verificado con NASAA Series 65 Investment Adviser Law Exam · Cómo revisamos