advisory services

Which Of The Following Actions By An Investment Adviser Representative Would Be An Unethical Practice Under The Uniform Securities Act?

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Which Of The Following Actions By An Investment Adviser Representative Would Be An Unethical Practice Under The Uniform Securities Act? Which of the following actions by an investment adviser representative would be an unethical practice under the Uniform Securities Act? Failing to disclose that recommended investments are being sold as principal by the representative’s own

Which Of The Following Individuals Is Defined As An Investment Adviser Under The Provisions Of The Uniform Securities Act?

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Which Of The Following Individuals Is Defined As An Investment Adviser Under The Provisions Of The Uniform Securities Act? The Uniform Securities Act defines an investment adviser representative as a partner, officer, director, or other individual employed by an investment adviser who makes recommendations; renders advice; manages accounts; solicits the sale of advisory services; or