Laws & Regulations第 82 / 110 题
Under the Uniform Securities Act, an 'investment adviser representative' (IAR) is best described as:
a.Any clerical employee of an advisory firm
b.An individual associated with an investment adviser who provides advice or solicits advisory clients
c.A broker-dealer that sells mutual funds
d.A bank that holds client assets in custody
解析
An investment adviser representative is an individual, associated with an investment adviser, who makes recommendations, manages accounts, or solicits advisory services for the firm. Purely clerical or administrative personnel are generally excluded. IARs typically must register in the states where they have clients or a place of business.
法律依据: Uniform Securities Act免费刷完整 110 道题库 — 无需注册。
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