Computers and Technology, 28.12.2019 02:31, babbybronx

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: 2

Show answers

Other questions on the subject: Computers and Technology

Computers and Technology, 22.06.2019 20:00, ksanchez2100

Need asap assignment directions: think of an organization (business, religious institution, volunteer organization, sports team) with which you have been involved. imagine outfitting it with an it infrastructure. prepare a plan for what you would do to support outfitting it. draw a map of a network connecting all the individuals, give them pcs and printers, and lay out the design as best you can. the purpose is to begin working with these concepts, not to build a perfect network.

Answers: 2

continue

Computers and Technology, 22.06.2019 23:30, jhonpiper

For her science class, elaine is creating a presentation on weather in the united states. she wants to make the presentation beautiful and interesting by drawing simple cloud or wave shapes. which is the best way for elaine to draw these shapes?

Answers: 1

continue

Computers and Technology, 23.06.2019 23:40, dudedude1593

Which of the following calculates the total from the adjacent cell through the first nonnumeric cell by default, using the sum function in its formula? -average -autosum -counta -max

Answers: 1

continue

Computers and Technology, 24.06.2019 00:00, marika35

Visualizing a game of “tag” to remember the meaning of contagious

Answers: 3

continue

Do you know the correct answer?

Brad smith works for ghi firm. ghi firm is a registered broker-dealer in state a, b and c and a regi...