History, 06.01.2020 18:31 michelle102567
Under the investment advisers act of 1940, which of the following statements are true regarding advisory contracts?
i advisory fees cannot be based upon capital gains in the account
ii advisory fees for clients with at least $1,000,000 of assets under management; or $2,000,000 net worth; can have a fee that is partly based upon capital gains
iii advisory contracts must be filed with the sec if they allow for $1,200 or more of prepaid advisory fees, 6 or more months in advance of services rendered
iv advisory contracts cannot contain provisions that violate federal law
a. i and ii only
b. iii and iv only
c. i, ii and iv
d. i, ii, iii, iv
Answers: 1
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Under the investment advisers act of 1940, which of the following statements are true regarding advi...
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