Investment fiduciary Study guides, Class notes & Summaries
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IACCP Master Questions Bank | 170 Questions and 100%Correct Answers Latest Update 2024.
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IACCP Master Questions Bank | 170 Questions and 100%Correct Answers Latest Update 2024. 
The SMC Capital, Inc. No-Action Letter (September 5, 1995) states that trade 
allocations may occur: 
A. Only on a rotational basis 
B. On a pro rata basis but other allocation methods can be used without violating 
the Advisers Act 
C. Only on a pro rata basis 
D. Based on the trader's good faith discretion Correct Answer: B. On a pro rata 
basis but other allocation methods can be used without violating t...
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Vendor Management Guide Questions and Answers Graded A 2024
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ERISA Prudent Man Rule - Requires plan fiduciaries to hire knowledgeable professionals for plan duties. 
 
Fiduciary Duty - Obligation to act in the best interest of plan participants and beneficiaries. 
 
Plan Sponsor - Employer responsible for selecting and monitoring plan service providers. 
 
Exclusive Benefit Rule - Requires fiduciaries to act solely for the benefit of participants and beneficiaries. 
 
Plan Service Providers - Entities engaged to perform functions beyond the sponsor's exp...
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IACCP Examination | 100% Correct | Verified | 2024 Version
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"Investment Adviser" person/firm compensated for engaging in business of (directly or indirectly) 
advising others on securities or the advisability of investing (or) who issues analysis/reports concerning 
securities - SEC vs Capital Gains Research Bureau basis of Fiduciary Rule, specifically Best Interest 
SEC Registration Required when 1) definition of "IA" is met (unless otherwise excepted from definition or 
exempt/prohibited from registration); AND $100M in AUM (optional for Mid-Sized ...
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Webce Insurance test questions and Answers Graded A+
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Agent Thompson received a letter from the Department of Insurance asking her to provide proof of completing the continuing education requirements. Within how many days must Agent Thompson respond to the Department's inquiry? 
 
20 
30 
10 
45 - ANSWER-10 days 
 
Abby lives in Ohio, where she is licensed as an insurance producer. She wants to apply for a nonresident license in Pennsylvania. Which of the following conditions must she satisfy? 
 
 She must move to Pennsylvania. 
 She must surrende...
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Pearson Vue Test Questions and answers, 100% Accurate, Graded A+. Approved.
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Pearson Vue Test Questions and answers, 100% Accurate, Graded A+. Approved. 
 
 
Which of the following terms BEST describes personal property that, by its attachment to real property, is regarded as real estate? 
 
A. 
Emblements 
 
B. 
Personality 
 
C. 
Fixtures 
 
D. 
Appliances - -C 
 
A salesperson who completes a written listing agreement with a seller is helping to create a contractual relationship between the: 
 
A. 
salesperson and the seller 
 
B. 
salesperson and the buyer 
 
C. 
sal...
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CO Current Legal Issues Course 2024 || with 100% Errorless Answers.
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Cases that don't constitute license law violations are correct answers dismissed on intake. 
 
Investigative dismissals are correct answers cases that went to investigation and were subsequently dismissed. 
 
Title 12 of the Colorado Revised Statutes gives correct answers the Colorado Division of Real Estate jurisdiction over real estate licensees and entities in the state, which includes the requirement to investigate complaints. 
 
One of the top licensee violations is correct answers failing...
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Series 65 Unit 1 – Kaplin || A+ Verified Solutions.
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Investment advisor act of 1940 correct answers Is the federal legislation that defines the term investment advisor and requires persons that fall within the definition to register with the SEC or with the states in which they do business. 2 primary purposes: 
regulation of persons both natural and legal in the business of giving investment advice 
-the establishment of standars of ethical business conduct for the industry 
 
National Securities Markets Improvement Act of 1993 (NSMIA) correct ans...
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ACC 426 - CH 1 QUESTIONS AND ANSWERS ALREADY GRADED A
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ACC 426 - CH 1 QUESTIONS AND ANSWERS ALREADY GRADED A 
Governmental funds include: 
A) Special revenue funds 
B) Internal service funds 
C) Enterprise funds D) Agency funds A 
Which of the following has established a "Hierarchy of GAAP": 
A) Financial Accounting Standards Board. 
B) Federal Accounting Standards Advisory Board 
C) Governmental Accounting Standards Board D) All of the above have established a hierarchy D 
The term "proprietary funds" applies to: 
A) all funds that use accrual ...
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CPFA Exam Bundle
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1
Exam (elaborations)
CPFA License Exam- (Certified Plan Fiduciary Advisor) (Online Practice Questions) with correct Answers

2
Exam (elaborations)
CPFA Investment Management (M3) Exam Questions and Answers

3
Exam (elaborations)
CPFA Exam Questions and Answers (Graded A)

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Exam (elaborations)
CPFA exam questions and answers 2

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Exam (elaboration
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CPFA UPDATED Exam Questions and CORRECT Answers
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ERISA (Employee Retirement Income Security Act of 1974) - - regulates the retirement 
plan industry 
- defines who is a fiduciary 
- fiduciaries must meet a standard of conduct 
- protects interests of participants 
- provides participants with plan information 
- government reporting 
- civil enforcement provisions 
IRC 3(21)(A) - a person is a fiduciary with respect to a plan to the extent the person 
exercises discretion or renders investment advice for a fee 
The Exclusive Purpose Rule - a...
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