Social Studies, 07.05.2021 21:50 melody32
Under current law, who of the following would be required to register as an investment adviser in a state?
A) A person who has directed advice relating to securities to 6 individuals in that state within the past 12 months, even though he has no place of business within the state
B) A person who deals exclusively with broker-dealers in that state, but maintains no place of business within the boundaries of the state
C) A person who limits advisory services exclusively to issuers of securities in that state while maintaining no office therein
D) A person whose home office is in the state and who manages less than $90 million in assets
Answers: 2
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