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Detail Form
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1.
Under the Uniform Securities Act (USA), the term "investment adviser" does not apply to
I. an investment advisory firm owned and operated by a sole proprietor.
II. a bank or savings institution.
III. an investment adviser representative.
IV. a broker-dealer or its agents if the advice is incidental to the business although there is a nominal charge for any specific investment advice given.
I. an investment advisory firm owned and operated by a sole proprietor.
II. a bank or savings institution.
III. an investment adviser representative.
IV. a broker-dealer or its agents if the advice is incidental to the business although there is a nominal charge for any specific investment advice given.
2.
Which of the following statements regarding the registration of broker-dealers and investment advisers is true?
3.
Under the Uniform Securities Act (USA), which of the following statements would be disallowed?
4.
Which of the following would meet the requirements for an "exempt security?"
5.
Which of the following describes an investment adviser that is not required to register with the state Administrator?
Which of the following describes an investment adviser that is not required to register with the state Administrator?
6.
The state official who has regulatory authority over the securities industry within the state is known as the
7.
Which of the following actions is the Administrator of a state empowered to take?
8.
Which of the following orders can an Administrator issue without providing prior notice?
9.
It has come to the attention of the Administrator of the state that Samuel Shyster provided false information on his application to become a registered investment adviser with the state. Prior to revoking Samuel's license, the Administrator will provide Samuel with which of the following?
I. prior notice
II. an opportunity to fill out a new registration statement
III. an opportunity for a hearing
IV. a written statement regarding the facts and the legal consequences
I. prior notice
II. an opportunity to fill out a new registration statement
III. an opportunity for a hearing
IV. a written statement regarding the facts and the legal consequences
10.
Sam Shyster had his day in court-and lost. His license to do business as an investment adviser in the state has been revoked. What legitimate options does Sam have available to him now?