Ask Question
BusinessBusiness
8 March, 00:36

an investment adviser representative of a federal federal covered adviser with no office in the state only has insurance companies as clients. where must the adviser representative register?

+4
Answers (1)
  1. 8 March, 03:02
    0
    Neither the SEC and nor the State

    Explanation:

    If an Investment advisor has his clients only in the form of insurance companies, which are already registered with both the SEC and the State.

    Therefore, the federal government can regulate and take care of the insurance companies, and the transactions of insurance companies with the investment advisor through the organizations.

    This clearly provides for the no requirement of registration of the investment advisor with any organization. If the insurance companies would not have been registered the requirement would definitely be mandatory for the advisor.
Know the Answer?
Not Sure About the Answer?
Get an answer to your question ✅ “an investment adviser representative of a federal federal covered adviser with no office in the state only has insurance companies as ...” in 📙 Business if there is no answer or all answers are wrong, use a search bar and try to find the answer among similar questions.
Search for Other Answers
You Might be Interested in
A broker, who represents a seller under an exclusive right to sell listing receives two offers for the property at the same time, the first from one of the broker's salespeople and the second from a cooperating broker. What should the broker do
Answers (1)
Aruba Corporation recently organized. The company issued common stock to an inventor in exchange for a patent with a market value of $ 57 comma 000.
Answers (1)
Jack is considering a management position in an accounting firm. If Jack can't negotiate a salary of at least $90,000, he plans to keep his current job. The new firm cannot pay more than $95,000.
Answers (1)
a plot of land is rectangle and has an area of x^2-5x-24m^2. the length is x+3m. find the width of the plot.
Answers (1)
Mark works strictly on commission of his gross sales from selling two different products for his company. last month, his gross sales were $90 comma 00090,000.
Answers (1)
New Questions in Business
At which step in the control process do managers evaluate whether performance deviates from the standards of performance
Answers (1)
Identify whether each statement in the following table best illustrates the concept of consumers' surplus, producers' surplus, or neither.
Answers (1)
How many units would have to be sold to yield a target operating income of $26,000, assuming variable costs are $27 per unit, total fixed costs are $2,000, and the unit selling price is $32?
Answers (1)
Zane's leadership style includes delegating tasks to his employees and giving them the freedom to perform the tasks using any strategy they see fit. this demonstrates which of the critical management skills suggested by katz
Answers (1)
Coca-Cola spent $102 million through The Coca-Cola Campaign focusing on water stewardship, healthy and active lifestyles, community recycling, and education. This initiative is an illustration of a CSR program. True or False?
No Answers
Home » Business » an investment adviser representative of a federal federal covered adviser with no office in the state only has insurance companies as clients. where must the adviser representative register?
Sign Up Forgot Password?