Business, 03.01.2020 04:31 simegustachocolate

An agent of a broker-dealer puts up a website that promotes the benefits of dollar cost averaging, including the caveat that it is suitable for investors only if they can maintain their periodic payments regardless of economic conditions and that it requires a long-term investment time horizon. if the website is viewed by an individual in another state where both the broker-dealer and agent are not registered, which of the following disclosures are required on the site in order not to be in violation of the uniform securities act in that state?
i "the broker-dealer or agent may only transact business in the state if registered in the state or if exempted or excluded from registration"
ii "follow ups or individualized responses to persons in the state that involve either effecting or attempting to effect transactions in securities will not be made absent compliance with state registration requirements or an applicable exemption or exclusion"
iii "the services being offered do not represent an offer to sell securities or a solicitation of an offer to buy the securities in the state unless the subject securities are registered or are subject to an applicable exclusion"
iv "the securities and exchange commission has not approved, nor has it disapproved of offering made in this advertisement"
a. i and ii only
b. iii and iv only
c. i, ii, iii
d. i, ii, iii, iv

Answers: 1

Show answers

Another question on Business

Business, 22.06.2019 10:40

Two assets have the following expected returns and standard deviations when the risk-free rate is 5%: asset a e(ra) = 18.5% σa = 20% asset b e(rb) = 15% σb = 27% an investor with a risk aversion of a = 3 would find that on a risk-return basis. a. only asset a is acceptable b. only asset b is acceptable c. neither asset a nor asset b is acceptable d. both asset a and asset b are acceptable

Answers: 2

Answer

Business, 22.06.2019 14:30

You hear your supervisor tell another supervisor that a fire drill will take place later today when the fire alarm sounds that afternoon you should

Answers: 1

Answer

Business, 22.06.2019 17:30

Betty contracted with scooby’s skate store to deliver a pair of skates to jake for his birthday. scooby’s owner was going on a trip and delegated the delivery of the skates to brian. brian failed to make delivery.can jake sue brian for breach of contract, as he was not a party to the original contract? explain your answer. brian was not a party to the original contract. why would a court hold him responsible for failing to make delivery? if you do not think a court would hold him responsible, explain your answer. can jake sue scooby’s skates for breach of contract? explain your answer.

Answers: 2

Answer

Business, 22.06.2019 19:30

The owner of firewood to go is considering buying a hydraulic wood splitter which sells for $50,000. he figures it will cost an additional $100 per cord to purchase and split wood with this machine, while he can sell each cord of split wood for $125. if, for this machine, design capacity is 50 cords per day, effective capacity is 40 cords per day, and actual output is expected to be 32 cords per day, what would be its efficiency?

Answers: 1

Answer

You know the right answer?

An agent of a broker-dealer puts up a website that promotes the benefits of dollar cost averaging, i...

Questions