Laws & RegulationsCâu 94 / 110
An investment adviser representative who moves to a new advisory firm must generally do which of the following?
a.Nothing; registration follows the individual automatically nationwide
b.Notify or re-register through the appropriate regulator, as the registration is tied to the association with a specific firm
c.Register only if the new firm is in a different state
d.Wait one year before advising any clients
Giải thích
An IAR's registration is tied to association with a particular investment adviser, so moving firms generally requires updating or re-establishing registration through the appropriate regulator. Both the departing and hiring firms typically have notice obligations. Registration does not automatically transfer with the individual.
Trích dẫn luật: Uniform Securities ActLuyện miễn phí toàn bộ 110 câu hỏi — không cần đăng ký.
Câu hỏi liên quan cùng chủ đề
- Which activity constitutes a prohibited misuse of material nonpublic information?
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- Under the Uniform Securities Act, the Administrator may deny, suspend, or revoke a registration for which reason?
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