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Author Question: The regulations adopted by the SEC under the Investment Advisers Act provide regulation of ... (Read 105 times)

cool

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  • Posts: 570
on: Jun 24, 2018
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


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mcomstock09

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Reply #1 on: Jun 24, 2018
Answer to Question 1

TRUE

Answer to Question 2

FALSE


cool

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  • Posts: 570
Reply 2 on: Jun 24, 2018
Thanks for the timely response, appreciate it

coreycathey

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  • Posts: 333
Reply 3 on: Yesterday
:D TYSM

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