Use LEFT and RIGHT arrow keys to navigate between flashcards;
Use UP and DOWN arrow keys to flip the card;
H to show hint;
A reads text to speech;
8 Cards in this Set
- Front
- Back
|
Clients can be charged different fees as long as |
The firm fully discloses that different clients are being charged different fees before they invest |
|
|
IAR's who work for federal covered advisers must ____ in every state in which they maintain a place of business |
Register |
|
|
State administrators may make rules _______ any type of fee |
Prohibiting |
|
|
Impersonal advisory services |
Do not meet the specific needs or objectives of a client or do not give an opinion of the investment benefit |
|
|
All investment adviser records must be maintained for ____ years if sent to ____ or more individual |
5 years , 2 or more people |
|
|
All investment adviser records must be maintained for ____ years if sent to ____ or more individual |
5 years , 2 or more people |
|
|
To register as an investment adviser they would need to file |
Part 1 and 2 of ADV |
|
|
If federal covered has more than 5 non-Institutional clients in one state, _______ is required by the adviser |
Notice filing |
