Business, 23.01.2020 07:31 momte

"a registered investment adviser publishes a web-based newsletter. he is approached by a marketing firm for a list of the ria's customers. the marketing firm is not going to pay for the customer list, but has agreed to give the ria computer equipment that will be used in publishing the ria's newsletter. this action is: a. permitted because it directly benefits the ria's customersb. permitted because the sec permits the payment of ""soft dollars""c. prohibited because the computer equipment qualifies for accelerated depreciation deductions under irs rulesd. prohibited because the ria did not get written permission from each client to release their information"

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"a registered investment adviser publishes a web-based newsletter. he is approached by a marketing f...