Laws & RegulationsCâu 93 / 110
Under the Uniform Securities Act, how long must an investment adviser generally retain required books and records?
a.For a specified minimum period, commonly five years, with recent years readily accessible
b.For only 30 days after account closing
c.No retention is required if records are electronic
d.Permanently, with no exceptions or format requirements
Giải thích
State recordkeeping rules under the Uniform Securities Act generally require advisers to preserve required books and records for a set minimum period, commonly five years, with the most recent years kept easily accessible. Records may be maintained electronically if properly preserved. Adequate recordkeeping supports examinations and enforcement.
Trích dẫn luật: Uniform Securities ActLuyện miễn phí toàn bộ 110 câu hỏi — không cần đăng ký.
Câu hỏi liên quan cùng chủ đề
- Under the Uniform Securities Act, the antifraud provisions apply to which persons?
- Which activity constitutes a prohibited misuse of material nonpublic information?
- An adviser who wishes to use client testimonials or advertisements must comply with rules that primarily require which of the following?
- 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?
- Under the Uniform Securities Act, the Administrator may deny, suspend, or revoke a registration for which reason?
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