Laws & RegulationsCâu 38 / 100
Under NASAA model recordkeeping rules, a state-registered investment adviser must generally preserve required books and records for a minimum of:
a.Six months
b.One year
c.Two years
d.Five years, with the first two years in an easily accessible location
Giải thích
State-registered advisers must generally keep required records for five years, with the most recent two years readily accessible, often at the principal office. This ensures records are available for examination. Shorter periods do not meet the model rule.
Trích dẫn luật: NASAA Model RuleLuyện miễn phí toàn bộ 100 câu hỏi — không cần đăng ký.
Câu hỏi liên quan cùng chủ đề
- An adviser engages in an agency cross transaction, arranging a trade between two of its advisory clients. To do this properly, the adviser generally must:
- Under the Uniform Securities Act, the least intrusive method of state registration for a well-established issuer with a strong track record filing a federal statement is:
- An agent recommends a security to a client without any reasonable basis to believe it is suitable, simply to meet a sales quota. This conduct:
- Which of the following persons is EXCLUDED from the definition of 'broker-dealer' under the Uniform Securities Act?
- An agent commits fraud in connection with the sale of a security that is itself exempt from registration. Under the Uniform Securities Act, the antifraud provisions:
- An IAR wishes to advertise using a client testimonial. Historically under NASAA and adviser rules, the treatment of testimonials has been:
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