Brad Smith works for GHI Firm. GHI firm is a registered Broker-Dealer in State A, B and C and a registered IA in State A. Brad is a registered IAR in State A, and travels to State B because he wants to meet with some potential new clients in State B. Brad sets up an office in a hotel room, meets with the potential clients, and gives them advice about their portfolio.
[A] This is acceptable because the GHI Firm is registered as a B/D in State B.
[B] This is unacceptable because Brad is not registered in State B.
[C] This is acceptable because Brad does not have an office in State B.
[D] This is unacceptable because Brad is not an Agent.
Answers (1)
Know the Answer?
Not Sure About the Answer?
Find an answer to your question 👍 “Brad Smith works for GHI Firm. GHI firm is a registered Broker-Dealer in State A, B and C and a registered IA in State A. Brad is a ...” in 📗 Computers & Technology if the answers seem to be not correct or there’s no answer. Try a smart search to find answers to similar questions.
Search for Other Answers
You Might be Interested in
The method of transferring data one word at a time from the CPU to a device is called
Answers (1)
How can websites illustrate cooperation and kindness?
Answers (2)
NTFS permissions and share permissions are cumulative. In other words, access to a share over the network will use the most restrictive permissions, regardless of whether they're NTFS or share permissions
Answers (1)
When text is indented in an outline, what does that usually mean? A. The indented text is not very important. B. The viewer should ignore the indented text. C. The speaker should spend more time talking about the indented text. D.
Answers (2)
An administrator running a port scan wants to ensure that no processes are listening on port 23. what state should the port be in?
Answers (1)
New Questions in Computers & Technology
The CPU (central processing unit), also known as a processor, is considered the brain of the computer. What is the CPU's function?
Answers (1)
What is the smallest part on an element called
Answers (1)
Which person is likely to make the mostly effective presentation
Answers (1)
19. Julia suffered an injury in January at work to her shoulder. The type of error is this sentence is a/an ___ error.
No Answers
If you increase or decrease the font size of one shape, the font size in other shapes will not be affected. True False
Answers (1)