221k views
2 votes
All of the following are SEC requirements related to a business continuity plan for a financial adviser, EXCEPT?

1 Answer

6 votes

Answer:

[D] The plan should provide for investment alternatives to regular securities products in the event of economic collapse

Step-by-step explanation:

Options A, B and C are all minimum requirements of the SEC business continuity plan for a financial adviser

The Security and exchange commission requirements of business continuity plans does not require an adviser to provide investment alternatives to regular securities products in the event of an economic collapse.

User Kenmore
by
4.4k points