Laws & RegulationsCâu 40 / 100
An IAR wishes to advertise using a client testimonial. Historically under NASAA and adviser rules, the treatment of testimonials has been:
a.Always freely permitted with no conditions
b.Restricted or requiring specific conditions and disclosures to avoid being misleading
c.Required in every advertisement
d.Prohibited only for broker-dealers
Giải thích
Adviser advertising involving testimonials has historically been restricted and, where permitted under updated marketing rules, requires clear disclosures to prevent misleading impressions. Unconditioned use risks being deceptive. Advisers must ensure advertising is not false or misleading in any respect.
Trích dẫn luật: Uniform Securities ActLuyện miễn phí toàn bộ 100 câu hỏi — không cần đăng ký.
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- 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:
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