Business
Business, 16.04.2020 04:04, trodrickwilliams2019

An investment adviser enters into an arrangement with a broker-dealer where the adviser, in return for directing trades to that broker-dealer, will receive payments for order flow. The payment, of one cent for each trade, is conditioned upon the adviser directing a minimum number of trades each month. Which statement is TRUE about this arrangement?
This action on the part of the adviser is permitted only if it is disclosed in the Form ADV Part 2A ("Brochure") given to clients
This action on the part of the adviser is permitted only if it is disclosed in the Form ADV Part 4A ("Brochure") given to clients
None of above

answer
Answers: 1

Other questions on the subject: Business

image
Business, 21.06.2019 16:00, keananashville
The proliferation of bittorrent and other file sharing media have threatened the copyright system. based on an understanding of incentives and opportunity cost, how are the decisions of musicians likely impacted?
Answers: 2
image
Business, 21.06.2019 22:10, maddy6882
You have just received notification that you have won the $2.0 million first prize in the centennial lottery. however, the prize will be awarded on your 100th birthday (assuming you're around to collect), 66 years from now. what is the present value of your windfall if the appropriate discount rate is 8 percent?
Answers: 1
image
Business, 22.06.2019 10:30, khenalilovespandas
Marketing1. suppose the average price for a new disposable cell phone is $20, and the total market potential for that product is $4 million. topco, inc. has a planned market share of 10 percent. how many phones does topco have the potential to sell in this market? 20,0002. use the data from question 3 to calculate topco, inc.'s planned market share in dollars. $400,0003. atlantic car rental charges $29.95 per day to rent a mid-size automobile. pacific car rental, atlantic's main competitor, just reduced prices on all its car rentals. in response, atlantic reduced its prices by 5 percent. now how much does it cost to rent a mid-size automobile from atlantic? $28.45
Answers: 1
image
Business, 22.06.2019 13:30, Geo777
You operate a small advertising agency. you employ two secretaries, a graphic designer, three sales representatives, and an office coordinator. 1. what types of things would you consider when determining how to compensate each position? describe two (2) considerations. 2. what type of compensation plan would you use for each position?
Answers: 1
Do you know the correct answer?
An investment adviser enters into an arrangement with a broker-dealer where the adviser, in return f...

Questions in other subjects:

Konu
Arts, 13.12.2020 06:20
Konu
Mathematics, 13.12.2020 06:20
Konu
History, 13.12.2020 06:20
Konu
Mathematics, 13.12.2020 06:20