One of the purposes of filing the annual updating amendment to the Form ADV Part 1A is to A) provide updated information on those associated persons who are in charge of giving investment advice B) ensure that full disclosure has been made in the adviser's brochure C) verify that the investment adviser still qualifies for SEC registration D) disclose the amount and location of securities or funds of clients that are being held by the adviser or a qualified custodian

Answers

Answer 1

Answer:

One of the purposes of filing the annual updating amendment to the Form ADV Part 1A is to

C) verify that the investment adviser still qualifies for SEC registration

Explanation:

Filing the annual Form ADV Part 1A gives the SEC and the state securities authorities information about the investment adviser's business, ownership, clients, employees, business practices, affiliations, and any disciplinary events of the adviser or its employees.  The form enables the SEC to register investment advisers and to obtain information from and about exempt reporting advisers.


Related Questions

A consumer is attempting to maximize utility in her consumption of Goods A and B. If her income and the price of Good A do not change, but the price of Good B decreases, this will:

Answers

Answer:

In this section, we are going to take a closer look at what is behind the demand curve and the behavior of consumers. How does a consumer decide to spend his/her income on the many different things that he/she wants, i.e., food, clothing, housing, entertainment? We assume that the goal of the consumer is to maximize his/her level of satisfaction or joy, constrained by his/her income.

Economists use the term utility as a measure of satisfaction, joy, or happiness. How much satisfaction does a person gain from eating a pizza or watching a movie? Measuring utility is based solely on the preferences of the individual and has nothing to do with the price of the good. Let’s do an experiment in utility.

Step 01: Get some of your favorite candy, pastries, or cookies.

Step 02: Take a bite and evaluate, on a scale from 0 to 100 (with 100 being the greatest utility), the level of utility from that bite. Record the marginal utility of that bite (i.e., how much you get from that one additional bite).

Step 03: Repeat step 02. It is important to be consistent with each unit consumed, i.e., the same size and no drinking milk or water part way though. When you run out of candy or your marginal utility goes to zero you can stop.

Law of Diminishing Marginal Utility

Arbitration is the final step in the conflict-management process.
False
True

Answers

Answer:

True

Explanation:

Arbitration is a private judicial -like process of resolving conflicts. The two or more conflicting parties select an independent party to make a final and binding decision on the conflicting issue. In general, there is no room to appeal when a decision from an arbitration process.

In arbitration, the conflicting parties are given a chance to present their evidence before the arbitrator. The arbitrator or a panel of arbitrators are experts in law or in the subject causing the conflict. A decision is made after listening and evaluating the evidence produced.

Are purchase discounts always a debit?​

Answers

Answer:

Yes

Explanation:

because it is and of course its is ask googel

how many meters are in one hectometer

Answers

Answer:

100

Explanation:

Hope this helps!

Merry Christmas.

Answer:

Explanation:

100

What is importing? please help

Answers

bring (goods or services) into a country from abroad for sale. Hope this helps defenition of importing

Which of the following types of advertising has the advantage of being especially affordable?

Magazine advertising

Internet advertising

Billboard advertising

Answers

Answer:

magazine advertising

Explanation:

most people think of the large glossy national publications full of big band adveritisers.

Answer:

internet advertising

Explanation:

Best Buy uses sales-performance data to develop methods for improving in-store employee performance. This is an example of following the _______________ viewpoint of management.

Answers

Answer:

Contingency

Explanation:

Contingency viewpoint of management is a flexible style of management that is employed based on the prevailing circumstances and the good judgement of the manager.

The use of sales-performance data to improve employee performance is a flexible means of evaluating employees because it might not be the standard for the company but since the management sees it as an effective means, it is then used.

Shell Enterprise is a soft toy manufacturer. It sells its toys to ToySpot, a company that sells a wide range of toys to the public at a single location. In this scenario, ToySpot is a

Answers

Answer:

ToySpot in this scenario is a soft toy retailer; this means it deals with customers directly and at the same location.

As the interest rate __________, the opportunity cost of holding money __________ and individuals choose to hold __________ money.

Answers

Decreases

Decreases

More

Correct me if I'm wrong :)

A 15-year-old recently inherited a parcel of real estate and has decided to sell it. If the 15-year-old executes a deed conveying the property to a purchaser, such a conveyance would be

Answers

Answer:

Such a conveyance would be "Voidable".

Explanation:

It is indeed a descriptor traditionally used throughout particular regard of a service agreement that's also final and enforceable unless it has been managed to ignored or proclaimed void by such a term of the contract who's already straightforwardly exercised the means to eliminate treaty agreements. An invalid contract is a legally binding acceptance of the offer which may have been provided inapplicable for a series of regulatory justifications.

What is one effective strategy for managing credit card debt?
O A. Spending your full credit limit before making a payment
OB. Ensuring that all of your credit card bills are paid on time
Oc. Replacing low-interest credit cards with high-interest options
OD. Paying only the minimum monthly payment on all credit cards

Answers

Answer:

D. Paying only the minimum monthly payment on all credit cards

Explanation:

I Hope That's correct :) ✓

Answer:

B. Ensuring that all of your credit card bills are paid on time

Explanation:

A credit card charge interests on outstanding balances and late payments, among other items. Interests in outstanding balances form a big proportion of credit card charges. Therefore, if one can avoid interest on these balances, their credit card charges will reduce greatly.

Paying the entire balance on the credit card statement ensures one does not incur any interest. Ensuring that all of your credit card bills are paid on time is the most appropriate way of managing credit card debts.

Eddie sells furniture and earns 12% commission. This week he sold a couch for $1234, a bedroom suite for $1789, and a chair for $563. (4 pts.)

Answers

Complete question :

Eddie sells furniture and earns 12% commission. This week he sold a couch for $1234, a bedroom suite for $1789, and a chair for $563. Calculate Eddie's commission.

Answer:

$717.20

Explanation:

Given that :

Percentage commission earned on sale = 12%

Cost of items sold this week:

Couch = $1234

Bedroom suite = $1789

Chair = $563

Total cost of items :

($1234 + $1789 + $563) = $3586

Commission of 20% on sales :

20% of $3586

0.2 * $3586

= $717.20

Firms such as Sikorsky offer highly complex products such as helicopters to U.S. military. When the firm offers a complex range of products and customers have similar needs, a ________ salesforce is recommended.

Answers

Answer:

Product - market specialized sales force

Explanation:

In simple words, the product or market specialized sales force refers to the team of sales persons representing a company that offers a product that needs proper personal presentation to be given to the customers.

In such business, specific training are given to sales employees before letting them handle the sales force. Such sales representatives are considered to be experts with the answer for every question .

Elisa withdrew $27 at a time from her bank account and withdrew a total of $189. Frances withdrew $49 at a time from his bank account and withdrew a total of $196. Who made the greater number of withdrawals

Answers

Answer:

Elisa

Explanation:

Calculation for Who made the greater number of withdrawal

Calculation for ELISA WITHDRAWAL

Using this formula

Elisa withdrawal=Total Withdrawal/Amount withdraw each times

Let plug in the formula

Elisa withdrawal=-$189/(-$27)

Elisa withdrawal=7

Calculation for FRANCES WITHDRAWAL

Using this formula

Frances withdrawal=Total Withdrawal/Amount withdraw each times

Let plug in the formula

Frances withdrawal=-$196/(-$49)

Frances withdrawal=4

Based on the above calculation Elisa had 7 withdrawa while Frances had 4 withdrawal which means that the person who made the greater number of withdrawals is ELISA

Why would researching the average earnings by major and by career be useful to you as you choose an institute for higher education

Answers

Answer:

For analysing return on amount invested in higher education

Explanation:

Investing in human capital formation component is important, as it contributes to higher income prospects for individual & higher economic growth for economy.

So, people research average earnings by major (the main expertise subject) & by associated career. As this helps in determining 'return on investment' in terms of income expected per unit cost spent, on higher education.

what are the disadvantages of international trade?
Suggest measures to minimize the disadvantages of international trade.

Answers

Answer:

It enables a country to obtain goods which it cannot produce or which it is not producing due to higher costs, by importing from other countries at lower costs. (iii) Specially Foreign trade leads to specialisation and encourages production of different goods in different countries.

Explanation:

inorder to minimize the disadvantage , there should be privacy maintainence in the intellectual property, there should be balanced in domestic and international trade. the over use of natural resources should be controlled. there should be proper checking of the good and services before trading them inside country or in foreign country, etc

Explain what "stakeholder theory" means and identify specific ways in which pressure from stakeholders other than shareholders has influenced corporate governance and reporting practice. Solutions are mere tokenism and fail to address the fundamental problems confronting companies?

Answers

Answer:The stakeholders are on the lookout to ensure the firm performs maximally and would want the best decision in place. This is how they influence corporate governance

Explanation:

Stakeholders theory is the theory of organizational management and business ethics that accounts for multiple constituencies impacted by business entities such as employees, local market, creditors, supplies and others. The stakeholders are on the lookout to ensure the firm performs maximally and would want the best decision in place. This is how they influence corporate governance

True or false: An EAP only contains information on what happens during an emergency.

Answers

Pretty sure it’s false

Which of the following businesses is NOT possible to be rivaled?
A. an electric company
B. a mall
C. an airline company
D. a telecommunication provider

Answers

Answer:

A. an electric company

Explanation:

Among all the options given above, it is an electric company that cannot be rivaled due to the fact that, all household definitely need electricity in-order to power their home. Due to the nature of the company and how capital intensive it is, it would always be in demand by the people.

Brazil is one of the world’s lowest-cost producers of ethanol and soybeans. Japanese corporations have heavily invested in Brazil to lease large tracts of land to grow soybeans for export to Japan, where the soybeans are used to derive products such as soy sauce and chicken feed. Why do these Japanese companies invest in Brazil?

Answers

Answer: The Japanese companies invest in Brazil in order to cut cost.

Explanation:

Since Brazil is one of the world's lowest-cost producers of ethanol and soybeans. Japanese corporations investing heavily in Brazil to lease large tracts of land to grow soybeans for export to Japan, are doing this in order to minimize their cost.

Growing soyabeans in Brazil is cheaper since there's a lower cost of producing it when compared to the higher cost of producing it in Japan. This in turn, helps the Japanese companies reduce their cost as the cost of factor Input is reduced and also the Japanese companies can make more profit.

Suppose nominal GDP in the base year was $380 million. Five years later, nominal GDP was $480 billion and the GDP price index was 120. Over those five years, real GDP: Group of answer choices increased by $80 billion

Answers

Answer: increased by $20 billion

Explanation:

Real GDP is year of interest is:

= (Nominal GDP in year of interest/ GDP Price index in year of interest) * 100

= 480/120 * 100

= $400 billion

Nominal GDP is equal to Real GDP in base year so increase in real GDP is:

= 400 - 380

= $20 billion

Hey MCU fans, 30 pts to the first person who can answer this question! What was Loki's last words TO THOR before he died? Just thought this would be fun :)

Answers

“I assure you, brother, the sun will shine on us again.”

A large multinational corporation is looking to expand its business to different countries across the globe. Fast internet speeds are very important for the company’s potential customers to access their product and service offerings. Which country should the company target to offer its products and services?+

Answers

Answer:

South Korea or Singapore

Explanation:

South Korea as well as Singapore are known in the world with a technology that allows very fast internet speed and it will be easier for the company to get potential customer and make accessibility of their products to customer easier. Since the large multinational corporation is looking to expand its business to different countries across the globe.

Word of mouth promotion is also known as what?

Answers

Answer:

Word-of-mouth advertising (WOM advertising), also called word of mouth marketing, is the process of actively influencing and encouraging organic word of mouth discussion about a brand, organization, resource, or event.

Explanation:

hope this helps, pls mark brainliest :D

Word-of-mouth advertising is another name for viral marketing.

What is Word-of-mouth promotion?

The technique of deliberately influencing and supporting organic word-of-mouth talk about a brand, organization, resource, or event is known as word-of-mouth advertising (WOM advertising), sometimes known as word-of-mouth marketing.

A corporation can reach new audiences and establish a solid brand reputation by using word-of-mouth marketing. Businesses can enhance profitability, draw in new clients, and strengthen their bonds with current consumers by utilizing this distinctive and natural kind of marketing.

The type of rewards utilized has a significant impact on the effectiveness of word-of-mouth marketing. The employment of incorrect incentives to encourage customers or representatives to spread good word of mouth about goods or brands can have negative effects on a business, according to research.

Learn more about Word-of-mouth marketing, from:

brainly.com/question/15472521

#SPJ6

What type of business is a business owned by a minimum of two and a maximum of fifty shareholders, which limits the liability of owners to the amount invested in shares.

Answers

Answer:

The correct answer is: Private Limited Company

Explanation:

Shareholder s are usually classed as owners of a company because they invested in a company's shares so they also receive entitled portions of profits made by the company.

Private Limited Company :

Some of the noticeable descriptions of a private limited company are:

1. They are limited liability.

2. It allows accounts of the company which includes profits and losses to be made open.

3. The company would still be able to run without, or the demise of the founder.

4. The income of the company is credited to the company's account and not the individuals' account who started the business.

5. Shares of the company cannot be traded and cannot be sold in the open market which eases decision making as the maximum number of shareholders is 50 persons.

6. When it comes to losses, shareholders cannot lose more than the amount they personally invested in the company through shares.

7.  It requires a minimum number of two shareholders.

 

in Theory Z, workers are expected to become specialists at what they do.


True

False

Answers

Answer:

False

Explanation:

Theory Z of motivation tries to blend the Japanese and American management practices. It is seen as an advancement of theory X and theory  Y motivation theories.

Theory Z emphasizes the need for employees to become generalists rather than specialists. It encourages employers to practice job rotations and continuous training to empower employees. As a result, employees will develop a variety of abilities and skills, which is beneficial to both the worker and the company.

A municipal securities dealer has just made a contribution to the mayor's reelection campaign. How long must the firm wait before it can enter competitive bids on proposed bond issues by the city

Answers

Answer:

The appropriate answer is "No waiting period".

Explanation:

Terms of attitude method similar to a relationship, recognize, warrant, the identification card of ability to participate and perhaps other responsibility made available by such a governmental entity or about there departments. The phrase "municipal securities vendor" applies to any individual engaged throughout the business of auctioning municipal securities according to their consideration, across some kind of broker or anything else.

If your friend Raheem asks you, “What type of account should I use to save for retirement,” what would you tell him?

Answers

Answer:

Roth IRA account

Explanation:

The best type of account that you should save money in for Retirement is a Roth IRA account. This will allow you to put and save a maximum of $5,500 USD per year which will compound annually with interest and can be redeemed when you retire. Once you redeem your money at the age of 65 1/2 it will be completely tax-free. Meaning you have no liabilities with that money whatsoever and you can simply enjoy your retirement with that money.

small business firms create many -blank- opportunities that help develop communities as well as the counties economy

it's a type your own answer thing ​

Answers

Answer: Small businesses contribute to local economies by bringing growth and innovation to the community in which the business is established. Small businesses also help stimulate economic growth by providing employment opportunities to people who may not be employable by larger corporations.

In evaluating shipping alternatives, organizations using a low-cost strategy often opt for _____ methods, while organizations using a responsive strategy more often opt for _____, higher-cost carriers.

Answers

Answer:

Slower, quicker

Explanation:

Shipping can be regarded as physical movement of goods from one location to another, example is this movement of merchandise from the warehouse to the customer. The shipping process comes after the manufacture of goods and packaging, low-cost strategy and

responsive strategy can be used for shipping alternative. It should be noted that In evaluating shipping alternatives, organizations using a low-cost strategy often opt for slower methods, while organizations using a responsive strategy more often opt for quicker, higher-cost carriers.

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