Social Studies
Social Studies, 17.07.2021 05:10, 4804174946

Kapco Advisers is a federal covered investment advisers with its principal office in New York City and several offices in New Jersey. Joe Segal, who lives in Manhattan, is an IAR with the firm and has the responsibility for serving those clients of Kapco who winter in Florida. In order to do so, Joe takes a hotel suite in Miami Beach for one week in December, in Boca Raton for one week in January, and in West Palm Beach for one week in February. While Mr. Segal is using these facilities to meet with existing clients, he does let them know that if they have any friends who might be interested in the firm's advisory services, they are welcome to make an appointment with him. Which of the following statements is correct regarding Mr. Segal's registration status under the Uniform Securities Act?-Because Joe is meeting with existing clients who are not permanent Florida residents, he does not have to register as an IAR in the state of Florida.-Because Joe is employed by a covered adviser, no registration is necessary in the state of Florida.-Because Joe is employed by a covered adviser, he is only required to register with the SEC.-Because Joe may be meeting with individuals who are not existing clients and may be Florida residents, he must be registered in the state of Florida as an IAR.

answer
Answers: 1

Other questions on the subject: Social Studies

image
Social Studies, 21.06.2019 17:00, aaaranda0308
The model is likened to an assembly line because speed and efficiency are the key elements of this modle a. due process b . crime control c. criminal justice d. judicial discretion
Answers: 1
image
Social Studies, 22.06.2019 02:30, gatorgirl10152
In a market economy, what does a producer mean when it asks, "is there a market for my products? is there a place where we can sell our products? " "ls our product being made more cheaply overseas? " will consumers need and want to buy our products? " will the government support demand for our products? "
Answers: 1
image
Social Studies, 22.06.2019 12:30, caitlynnpatton1208
Sociology is best described as the systematic study of
Answers: 1
image
Social Studies, 22.06.2019 19:30, maxellodom5
The patriot act made it easier for law enforcement agencies to conduct surveillance under certain circumstances true or false
Answers: 1
Do you know the correct answer?
Kapco Advisers is a federal covered investment advisers with its principal office in New York City a...

Questions in other subjects: