sukirobo1030 sukirobo1030

11-03-2024
Business

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Under SEC Release IA-1092, which TWO of the following statements are TRUE?
A. An individual who provides tailored advice about securities but does not execute transactions is an investment adviser.
B. An individual who writes an investment column for the Floor Street Journal is an investment adviser.
C. An individual who provides advice about which fund manager a client should choose is an investment adviser.
D. An individual who provides advice about which fund manager a client should choose is an investment adviser only if he is compensated by the manager he is recommending.

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