Business, 17.07.2020 21:01 es17118

Under the Investment Advisers Act of 1940, which of the following statements are TRUE regarding the investment adviser's relationship with a broker-dealer? I The investment adviser must disclose if it recommends the use of a specific broker-dealer to effect recommended trades
II The investment adviser doesn't have to disclose if it recommends the use of a specific broker-dealer to effect recommended trades
III The customer must effect trades through the broker-dealer of the investment adviser's choosing
IV The customer doesn't have to effect trades through the broker-dealer of the investment adviser's choosing

a. I and III
b. I and IV
c. II and III
d. II and IV

Answers: 1

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Under the Investment Advisers Act of 1940, which of the following statements are TRUE regarding the...