Business, 07.12.2019 00:31 taliajohnsom9901
Paul works as a registered representative for broker-dealer x and also works as a financial planner under broker-dealer x's control. paul's only source of compensation are commissions for trades that are executed. according to the investment advisers act:
paul must be registered as an investment adviserbroker-dealer y must be registered as an investment adviserpaul does not need to be registered as an investment adviserneither paul nor broker-dealer y requires registration as an investment adviser
Answers: 1
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