Registration第 9 / 100 题
Which individual at a state-registered investment advisory firm would be considered an investment adviser representative?
a.A receptionist who schedules client meetings
b.A portfolio manager who selects securities for client accounts and supervises two junior analysts
c.An accounts-payable clerk who processes vendor invoices
d.A building maintenance technician employed by the firm
解析
An investment adviser representative is a supervised person who makes recommendations or renders advice, manages accounts, determines what advice to give, solicits advisory services, or supervises those who do. Individuals whose functions are purely clerical or ministerial are excluded, which covers the receptionist, the clerk, and the maintenance worker. The portfolio manager both advises and supervises, so registration is required.
法律依据: Uniform Securities Act免费刷完整 100 道题库 — 无需注册。
同考点相关题目
- An investment adviser has its only office in State M. Over the past twelve months it has advised five individual clients who reside in State N, where it has no place of business. Regarding State N registration, the adviser:
- Which statement about the consent to service of process is correct?
- An agent resigns from Broker-Dealer One and joins Broker-Dealer Two the following week. Under the Uniform Securities Act, notice of the change must be given to the Administrator by:
- Absent a denial order or pending proceeding, an application for registration as a broker-dealer, agent, investment adviser, or investment adviser representative becomes effective:
- A state-registered investment adviser maintains custody of client funds and securities. Regarding financial requirements, the Administrator may:
- A registered broker-dealer files an application to withdraw its registration in a state. Which statement is correct?