The regulations adopted by the SEC under the Investment Advisers ...

[cool]

The regulations adopted by the SEC under the Investment Advisers Act provide regulation of professionals working in the securities industry.
 a. True
  b. False
  Indicate whether the statement is true or false

Question 2

Churning is when a securities professional buys a stock for his own benefit and then urges investors to buy the stock to drive its price up for his benefit.
 a. True
  b. False
  Indicate whether the statement is true or false

[mcomstock09]

Answer to Question 1

TRUE

Answer to Question 2

FALSE

[cool]

Gracias!

[DylanD1323]

Thanks for the timely response, appreciate it