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Social Studies, 15.04.2020 03:17 falconsfan20182
All of the following statements concerning an agency cross transaction for an advisory client are true EXCEPT A) an investment adviser must make prior written disclosure to the advisory client that it will act as broker-dealer for, have a potential conflict of interest with, and may collect commissions from both parties B) an advisory client must provide prior written consent for the adviser to be able to engage in agency cross transactions C) it is a transaction in which a person acts as an investment adviser in relation to a transaction in which the adviser or related person acts as a broker-dealer for both the advisory client and another person on the other side of the transaction D) an investment adviser may recommend the transaction to both parties to the transaction
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All of the following statements concerning an agency cross transaction for an advisory client are tr...
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