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which of the following information must be included on an investment adviser's registration application under the uniform securities act? i administrative orders entered against persons associated with
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27 votes
27 votes
which of the following information must be included on an investment adviser's registration application under the uniform securities act? i administrative orders entered against persons associated with the investment adviser ii misdemeanor securities convictions of persons associated with the investment adviser iii felony securities convictions of persons associated with the investment adviser

User NhatNienne
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2.6k points

1 Answer

16 votes
16 votes

Answer:

  • i. administrative orders entered against persons associated with the investment adviser
  • ii. misdemeanor securities convictions of persons associated with the investment adviser
  • iii. felony securities convictions of persons associated with the investment adviser

Step-by-step explanation:

All of them must be included on an investment adviser's registration application under the uniform securities act.

User Veshraj Joshi
by
2.5k points
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