Laws & Regulations第 103 / 110 题
Which use of a professional designation or registration status by an adviser would be considered misleading?
a.Accurately stating the adviser is registered with the state
b.Truthfully describing the adviser's years of experience
c.Listing genuine professional credentials the adviser holds
d.Implying that registration means the Administrator has approved the adviser's qualifications or endorsed the firm
解析
It is misleading, and prohibited, for an adviser to imply that being registered means a regulator has approved or endorsed its abilities or the merits of its services. Registration signifies compliance with legal requirements, not government endorsement. Accurately stating registration status and genuine credentials, however, is permissible.
法律依据: Uniform Securities Act免费刷完整 110 道题库 — 无需注册。
同考点相关题目
- A federal covered adviser doing business in a state is generally subject to which state requirement?
- If an adviser delivers its brochure at the same time the advisory contract is signed rather than at least 48 hours before, the client generally must be given:
- When an adviser pays a cash fee to a third-party solicitor for referring clients, the arrangement generally requires:
- Which professional is most likely excluded from the definition of investment adviser when advice about securities is incidental to their practice and no special compensation is received?
- An adviser's obligation to protect clients' nonpublic personal information and provide a privacy notice arises principally from which requirement?
- Under the Uniform Securities Act, a willful violation of the act by an adviser or agent can result in which of the following?